Common use of Shareholder Reporting Clause in Contracts

Shareholder Reporting. Generate and mail transaction confirmations • Generate and mail quarterly statements • Generate and mail applicable tax forms • Maintain records on daily share activity for all Fund transactions • Report daily share activity and money movement to Fund and Custodian • Complete daily settlement reports • Maintain and coordinate Blue Sky registrations and renewals Rule 22c-2 Transaction Monitoring Services • Develop and implement analytics based on Fund specific rules to identify activity within a particular omnibus account that warrants further review of the underlying activity; • Schedule and route data from financial intermediaries, verify receipt of the data requested, including data provided through direct feeds and sub-accounting service providers and DTCC Omniserv; • Systematically analyze trade activity and request underlying account details at the individual and/or plan level; • Capture potential timing activity in the AWD system and review; • Provide identified items to Fund management for further instructions; • Contact financial intermediaries in writing within specified time-frame and provide account restrictions, warnings and other related messages communicated by the Funds; • Maintain restrictions database; and • Generate quarterly reports to summarize activities.