Common use of Support Due Diligence Programs Clause in Contracts

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. General: Per Account Fees and CUSIP Fees are billable on a monthly basis at the rate of 1/12th of the annual fee. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed and shall continue until such account is purged from the system. Per Account Fee1 Direct Non Trust /Cash Sweep Account Fee $ 15.00 per account Direct Trust Account Fee $ 10.00 per account Matrix ▇▇▇▇▇ ▇ & Cash Sweep Account Fee $ 8.00 per account Closed Account Fee $ 1.20 per account CUSIP Fee2,3 1 - 50 CUSIPs (Months 13+) $ 20,000.00 51 - 100 CUSIPs (Months 13+) $ 10,000.00 101 or more CUSIPs (Months 13+) $ 5,000.00 1 - 50 CUSIPs (1 - 12 months) $ 15,000.00 51 - 100 CUSIPs (1 - 12 months) $ 7,500.00 101 or more CUSIPs (1 - 12 months) $ 3,750.00 Billed as incurred in accordance with Section 2.2 of the Agreement. 1 A minimum surcharge of $0.50 per account will apply to all floating NAV Money Market Account Fund accounts upon implementation of Money Market Reform. The surcharge rate will be subject to review and amendment upon mutual agreement.

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. General: Per Account Fees and CUSIP Fees are billable on a monthly basis at the rate of 1/12th of the annual fee. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed and shall continue until such account is purged from the system. Per Account Fee1 Direct Non Trust /Cash Sweep Account Fee $ 15.00 per account Direct Trust Account Fee $ 10.00 per account Matrix ▇▇▇▇▇ ▇ & Cash Sweep Account Fee $ 8.00 per account Closed Account Fee $ 1.20 per account CUSIP Fee2,3 1 - 50 CUSIPs (Months 13+) $ 20,000.00 51 - 100 CUSIPs (Months 13+) $ 10,000.00 101 or more CUSIPs (Months 13+) $ 5,000.00 1 - 50 CUSIPs (1 - 12 months) $ 15,000.00 51 - 100 CUSIPs (1 - 12 months) $ 7,500.00 101 or more CUSIPs (1 - – 12 months) $ 3,750.00 Billed as incurred in accordance with Section 2.2 of the Agreement. 1 A minimum surcharge of $0.50 per account will apply to all floating NAV Money Market Account Fund accounts upon implementation of Money Market Reform. The surcharge rate will be subject to review and amendment upon mutual agreement.