Compliance Administration. (i) Perform monthly prospectus & SAI, SEC investment restriction monitoring
Compliance Administration. (i) Perform testing for compliance with: (i) the investment objective and certain policies and restrictions as disclosed in each Fund’s offering documents; and (ii) applicable Law (collectively, “Portfolio Compliance”) (post-trade, monthly) to test the Fund’s Portfolio Compliance (the “Portfolio Compliance Testing”). The frequency and nature of the Portfolio Compliance Testing and the methodology and process in accordance with which the Portfolio Compliance Testing are conducted, are mutually agreed to between ALPS and the Fund.
Compliance Administration. Perform daily prospectus, SEC investment restriction monitoring · Provide warning/alert notification · Create monthly comprehensive compliance summary reporting · Monitor on a quarerly basis each Fund's status as a regulated investment company under Subchapter M of the Code.
Compliance Administration. Perform daily prospectus & SAI, SEC investment restriction monitoring • Provide warning/Alert notification with supporting documentation • Provide client access to automated compliance testing platform • Create monthly comprehensive compliance summary reporting • Calculate section 18 derivative exposure and asset coverage reporting • Provide quarterly compliance testing certification to Board of Trustees Tax Administration • Calculate dividend and capital gain distribution rates • Prepare ROCSOP and required tax designations for Annual Report • Prepare and coordinate filing of income and excise tax returns • Audit firm to sign all returns as paid preparer • Calculate/monitor book-to-tax differences • Provide quarterly Subchapter M compliance monitoring and reporting • Provide tax re-allocation data for shareholder 1099 reporting Revisions to, or the addition of new services to the services listed above (including but not limited to new or revised services related to regulatory changes or special projects) shall be subject to additional fees as determined by ALPS.
Compliance Administration. Perform daily prospectus & SAI, SEC investment restriction monitoring • Provide warning/Alert notification with supporting documentation • Provide quarterly compliance testing certification to Board of Directors
Compliance Administration. Perform daily prospectus & SAI, SEC investment restriction monitoring • Provide warning/Alert notification with supporting documentation • Create monthly comprehensive compliance summary reporting • Calculate section 18 derivative exposure and asset coverage reporting • Provide quarterly compliance testing certification to Board of Directors Tax Administration • Calculate dividend and capital gain distribution rates • Prepare ROCSOP and required tax designations for Annual Report • Prepare and coordinate filing of income and excise tax returns o Audit firm to sign all returns as paid preparer • Calculate/monitor book-to-tax differences • Provide quarterly Subchapter M compliance monitoring and reporting • Provide tax re-allocation data for shareholder 1099 reporting • Prepare and distribute 19a-1 filings as required
Compliance Administration. Perform daily prospectus & SAI, SEC investment restriction monitoring • Provide warning/Alert notification with supporting documentation • Provide quarterly compliance testing certification to Board of Trustees Investor Services • Handle 800-line phone calls on recorded lines • Coordinate daily fulfilment process • Compile monthly reports on call statistics SS&C Portal • Document Management/Sharing • Initiate requests or provide feedback • Retrieval of current and historical reports stored for retention periods defined by SEC/FINRA/IRS regulations • Access to daily fund accounting data and static reports • Portfolio compliance alerting with drill-down capability • Portfolio data warehouse with reporting engine • Trustee access that facilitates access to board materials and other relevant documents • Printed material fulfilment requests (i.e. prospectuses, annual reports, applications) (the remainder of this page is intentionally left blank) APPENDIX C COLA: After the first anniversary date of the Agreement and on each year thereafter, the minimum fees will incur an annual cost of living increase based on any increase in the Average Annual Consumer Price Index for Urban Wage Earners and Clerical Workers, for the Denver-Aurora- Lakewood area, as published each January by the United States Department of Labor, Bureau of Labor Statistics, or, in the event that publication of such index is terminated, any successor or substitute index, appropriately adjusted, acceptable to all parties. Notes: Detailed assumptions provided by client and/or listed. If actual volumes or other key assumptions are materially different, SS&C ALPS reserves the right to adjust fees accordingly. Pricing is valid for 90 days. Fees are based on standard policies and procedures. Variations from those standards may result in revised pricing. Out of Pocket Expenses: Fund shall be responsible for security pricing and data fees, Bloomberg fees, Gainskeeper fees, PFIC Analyzer, bank loan sub-accounting fees, Blue Sky permit processing fees and state registration fees, SSAE 18 control review reports, travel expenses to Board meetings and on-site reviews, typesetting, printing, filing and mailing fees (including additional fees or surcharges related to exp edited typesetting, printing, filing and mailing events), FINRA advertising/filing fees (including additional ALPS fees for expedited reviews), registered representative state licensing fees, fulfillment costs, confirmations and investor statem...
Compliance Administration. ● Provide daily investment restriction compliance monitoring support and reporting. ● Provide warning/alert notification with supporting documentation. ● Report violations, if any, to a Fund and the Fund’s CCO as promptly as practicable following discovery.
Compliance Administration. ● Perform daily prospectus & SAI, SEC investment restriction monitoring ● Provide warning/Alert notification with supporting documentation ● Create monthly comprehensive compliance summary reporting ● Calculate section 18 derivative exposure and asset coverage reporting ● Provide quarterly compliance testing certification to Board of Directors Tax Administration ● Calculate dividend and capital gain distribution rates ● Prepare ROCSOP and required tax designations for Annual Report ● Prepare and coordinate filing of income and excise tax returns ○ Audit firm to sign all returns as paid preparer ● Calculate/monitor book-to-tax differences ● Provide quarterly Subchapter M compliance monitoring and reporting ● Provide tax re-allocation data for shareholder 1099 reporting ● Prepare and distribute 19a-1 filings, as required SS&C Portal ● Document Management/Sharing ● Initiate requests or provide feedback ● Retrieval of current and historical reports stored for retention periods defined by SEC/FINRA/IRS regulations ● Access to daily fund accounting data and static reports ● Portfolio compliance alerting with drill-down capability ● Portfolio data warehouse with reporting engine 1 - See Appendix C for additional terms applicable to these services. Revisions to, or the addition of new services to the services listed above (including but not limited to new or revised services related to regulatory changes or special projects) shall be subject to additional fees and will be billed at ALPS’ standard rates. APPENDIX C
Compliance Administration. Perform daily prospectus, SEC investment restriction monitoring Provide warning/alert notification Create monthly comprehensive compliance summary reporting Monitor on a quarterly basis each Fund's status as a regulated investment company under Subchapter M of the Code. Appendix A
