Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators. (b) Maintain a detailed audit trail of all accounts that are blocked and reason for doing so.
Appears in 35 contracts
Sources: Transfer Agency and Service Agreement (Allspring Funds Trust), Transfer Agency and Service Agreement (Allspring Variable Trust), Services Agreement (Saba Capital Income & Opportunities Fund)
Support Due Diligence Programs. (a) Update system watch list with pertinent information on trade violators.
(b) Maintain a detailed detail audit trail of all accounts that are blocked and reason for doing so.
Appears in 3 contracts
Sources: Transfer Agency and Service Agreement (Commerce Funds), Transfer Agency and Service Agreement (Ssga Funds), Transfer Agency and Service Agreement (Hansberger International Series)