Compliance Control Services. (1) Support reporting to regulatory bodies and support financial statement preparation by making the Fund's accounting records available to the Trust, the Securities and Exchange Commission (the “SEC”), and the independent accountants.
Compliance Control Services. (21) Maintain accounting records to support compliance monitoring by the Trust. (22) Support reporting to regulatory bodies and support financial statement preparation by making the Fund accounting records available to the Trust, the Securities and Exchange Commission, and the outside auditors. (23) Maintain accounting records according to the Investment Company Act of 1940 and regulations provided thereunder.
Compliance Control Services. (1) Make the Fund's accounting records and the requested portfolio-based reporting identified above available to the investment adviser upon request in a timely fashion so as to support their compliance-monitoring review. Provide the compliance reporting in the format requested by the Fund. Issue the requested reports to the recipients and with the frequency identified in this request.
Compliance Control Services. (21) Maintain accounting records to support compliance monitoring by the Trust.
Compliance Control Services. (1) Make the Trust's accounting records available to the Trust and its investment manager, the Securities and Exchange Commission, and the outside auditors as necessary to facilitate reports to regulatory entities and the preparation of financial statements.
Compliance Control Services. (1) Support reporting to regulatory bodies and support financial statement preparation by making the Fund's accounting records available to the Company, the Securities and Exchange Commission, and the outside auditors. (2) Maintain accounting records according to the 1940 Act and regulations provided thereunder. 3. Pricing of Securities For each valuation date, obtain prices from a pricing source selected by Firstar but approved by the Company's Board of Directors and apply those prices to the portfolio positions of the Fund. For those securities where market quotations are not readily available, the Company's Board of Directors shall approve, in good faith, the method for determining the fair value for such securities. If the Company desires to provide a price which varies from the pricing source, the Company shall promptly notify and supply Firstar with the valuation of any such security on each valuation date. All pricing changes made by the Company will be in writing and must specifically identify the securities to be changed by CUSIP, name of security, new price or rate to be applied, and, if applicable, the time period for which the new price(s) is/are effective. 4. Changes in Accounting Procedures Any resolution passed by the Board of Directors of the Company that affects accounting practices and procedures under this Agreement shall be effective upon written receipt and acceptance by the Firstar. 5.
Compliance Control Services. (1) Maintain accounting records to support compliance monitoring by the Fund.
Compliance Control Services. Execution Version
Compliance Control Services. (1) Support the Fund’s reporting obligations to regulatory bodies and support financial statement preparation by making the Fund's accounting records available to the Fund (including for purposes of provision thereof to the Securities and Exchange Commission (the “SEC”), and the Fund’s outside auditors, as determined by the Fund). (2) Maintain accounting records according to the 1940 Act and regulations provided thereunder. (3) Assist the Fund’s Chief Executive Officer and Chief Financial Officer in connection with establishing and maintaining “internal control over financial reporting” (as defined in Rules 13a-15(f) and 15-d(f) under the Securities Exchange Act of 1934 (the “1934 Act”)) for the Fund. (4) In order to assist the Fund in satisfying the requirements of Rule 38a-1 under the 1940 Act (the “Rule”), Fund Services will provide the Fund’s Chief Compliance Officer with reasonable access to Fund Services’ fund records relating to the services provided by it under this Agreement, and will provide quarterly compliance reports and related certifications regarding any Material Compliance Matter (as defined in the Rule) involving Fund Services that affect or could affect the Fund. (5) Perform its duties hereunder in compliance with all applicable laws and regulations and provide any sub-certifications reasonably requested by the
Compliance Control Services. Execution Copy
