Compliance Support Sample Clauses

Compliance Support. The Custodian shall perform, in accordance with operating procedures as the Custodian and the Funds shall from time to time agree in writing, administrative compliance monitoring of the Funds with respect to the investment objectives, restrictions and policies set forth in (i) the Fund's current prospectus and statement of additional information provided by the Funds, or otherwise available to the Custodian, (ii) the 1940 Act and (iii) applicable IRS rules and regulations, using both manual compliance testing and an automatic compliance system currently utilized by the Custodian through an unaffiliated third party vendor. Any changes or modifications to the administrative compliance monitoring provided by the Custodian shall be agreed upon by the Funds and the Custodian in writing. In performing its compliance monitoring services, the Custodian shall use post net asset value compliance monitoring.
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Compliance Support. The Custodian shall assist the Investment Adviser for the Fund, at the Adviser's request, in monitoring and developing compliance procedures for the Fund which will include, among other matters, procedures to assist the Adviser in monitoring compliance with the Fund's investment objectives, policies and restrictions, tax matters and applicable laws and regulations and performing certain monthly compliance tests, to the extent relevant information is available to the Custodian in the performance of its functions as the Fund's net asset value calculation agent.
Sample 1
Compliance Support. The contractor shall ensure that the product baselines are in compliance with the DoD 8500 (Cybersecurity), 8510 (Risk Management Framework (RMF)), 8551 (Ports, Protocols, and Services Management (PPSM)), 8520 (Public Key Infrastructure (PKI)), and any other applicable Directives and Instructions requirements. The contractor shall ensure, maintain, and/or improve the product baselines cybersecurity posture by proactively addressing, resolving, and delivering solutions in order to comply with the applicable DoD Directives and Instructions. The contractor shall provide support (i.e., security artifacts, documentation and software solutions) for the resolution of new and previously identified security deficiencies and the development of Plan of Action and Milestone (POA&M) with mitigation strategies to ensure that the residual vulnerability findings for the applicable baseline releases are compliant with the DoD Cybersecurity requirements and Accreditation and Authorization (A&A) process. All contractor developed software items as well as the integrated end product baseline shall be compliant with cybersecurity requirements and free of any known CAT I vulnerabilities that cannot be successfully mitigated, downgraded to a CAT II finding by the Security Control Assessor (SCA), and approved by the Authorizing Official (AO). The contractor shall deliver software updates to address any applicable IAVAs, COTS and Open Source software updates (e.g., Oracle quarterly Critical Patch Updates), End of Life (EOL) / unsupported software updates, and fixes to address selected POA&M items. Contractors shall proactively monitor, track, and provide the PMO with a strategic way forward regarding any applicable DOD/USCYBERCOM taskings for any of the PMO supported baselines/systems/applications (Rich Site Summary (RSS) feed Uniform Resource Locator (URL)) will be supplied post award).
Sample 1
Compliance Support. Monitor the investment adviser’s compliance with the 1940 Act requirements and with each Fund’s policies and limitations; · Prepare Board agenda and materials, attend and record minutes of meetings; · Assist in maintaining each Fund’s compliance policies and procedures; · Provide the Company’s CCO with quarterly certification as to the services of AFS
Sample 1
Compliance Support. PFPC will provide compliance policies and procedures related to services provided by PFPC and, if mutually agreed, certain PFPC affiliates, summary procedures thereof and a quarterly certification letter.
Sample 1
Compliance Support. Monitor the investment adviser’s compliance with the 1940 Act requirements and with each Fund’s policies and limitations; Prepare Board agenda and materials, attend and record minutes of meetings; Assist in maintaining each Fund’s compliance policies and procedures; Provide the Company’s CCO with quarterly certification as to the services of JFS. SLD-1539481-3 FEE SCHEDULE The Company currently consists of eight series, including: Short-Intermediate Bond Fund Income Fund Balanced Fund Core Equity Fund Large Cap Growth Fund Growth Opportunities Fund Small Company Fund International Equity Fund The following fee schedule will apply to the aggregate net asset value of all Funds (including up to two additional Funds added after the effective date of this Agreement) for purposes of the services described in Exhibit A:
Sample 1

Related to Compliance Support

  • Compliance Support Services Provide compliance policies and procedures related to services provided by BNY Mellon and, if mutually agreed, certain of the BNY Mellon Affiliates; summary procedures thereof; and periodic certification letters. · Such Compliance Support Services are administrative in nature and do not constitute, nor shall they be construed as constituting, legal advice or the provision of legal services for or on behalf of a Fund or any other person, and such services are subject to review and approval by the applicable Fund and by the Fund’s legal counsel. · Provide access to Fund records so as to permit the Fund or TRP to test the performance of BNY Mellon in providing the services under this Agreement. · Such Compliance Support Services performed by BNY Mellon under this Agreement shall be at the request and direction of the Fund and/or its chief compliance officer (the “Fund’s CCO”), as applicable. BNY Mellon disclaims liability to the Fund, and the Fund is solely responsible, for the selection, qualifications and performance of the Fund’s CCO and the adequacy and effectiveness of the Fund’s compliance program.

  • Maintenance Support State Street shall use commercially reasonable efforts to correct system functions that do not work according to the System Product Description as set forth on Attachment A in priority order in the next scheduled delivery release or otherwise as soon as is practicable.

  • Compliance Services (a) If Schedule I contains a requirement for the BNY to provide the Fund with compliance services, such services shall be provided pursuant to the terms of this Section 6 (the “Compliance Services”). The precise compliance review and testing services to be provided shall be as mutually agreed between the BNY and each Fund, and the results of the BNY’s Compliance Services shall be detailed in a compliance summary report (the “Compliance Summary Report”) prepared on a periodic basis as mutually agreed. Each Compliance Summary Report shall be subject to review and approval by the Fund. The BNY shall have no responsibility or obligation to provide Compliance Services other that those services specifically listed in Schedule I.

  • Compliance Reporting a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.

  • Compliance Reports The Subadvisor at its expense will provide the Advisor with such compliance reports relating to its duties under this Agreement as may be agreed upon by such parties from time to time.

  • Compliance Audits D.4.1 Compliance Audit(s). Without limiting the generality of section A.7.4 (Records Review), if requested by the Province from time to time, which request shall be at the Province’s sole discretion, the Recipient, at its own expense, will forthwith retain an independent third party auditor to conduct one or more compliance audits of the Recipient or any Project. The audit will be conducted in accordance with Canadian Generally Accepted Auditing Standards, as adopted by the Canadian Institute of Chartered Accountants, applicable as of the date on which a record is kept or required to be kept under such standards. In addition, the audit will assess the Recipient’s compliance with the terms of the Agreement and will address, with respect to each Project, without limitation, the following:

  • Servicer Compliance Statement On or before March 1 of each calendar year, commencing in 2007, the Servicer shall deliver to the Owner and any Depositor a statement of compliance addressed to the Owner and such Depositor and signed by an authorized officer of the Servicer, to the effect that (i) a review of the Servicer’s activities during the immediately preceding calendar year (or applicable portion thereof) and of its performance under this Agreement and any applicable Reconstitution Agreement during such period has been made under such officer’s supervision, and (ii) to the best of such officers’ knowledge, based on such review, the Servicer has fulfilled all of its obligations under this Agreement and any applicable Reconstitution Agreement in all material respects throughout such calendar year (or applicable portion thereof) or, if there has been a failure to fulfill any such obligation in any material respect, specifically identifying each such failure known to such officer and the nature and the status thereof.

  • Regulatory Compliance Cooperation (a) CIT/VC agrees to use commercially reasonable best efforts to avoid the occurrence of a Regulatory Problem. In the event that CIT/VC determines that it has a Regulatory Problem, the Company agrees to use commercially reasonable efforts to take all such actions as are reasonably requested by CIT/VC in order (A) to effectuate and facilitate any transfer by CIT/VC of any Securities of the Company then held by CIT/VC to any Person designated by CIT/VC (subject, however, to compliance with Section 3 of this Agreement), (B) to permit CIT/VC (or any Affiliate of CIT/VC) to exchange all or any portion of the voting Securities of the Company then held by such Person on a share-for-share basis for shares of a class of non-voting Securities of the Company, which non-voting Securities shall be identical in all respects to such voting Securities, except that such new Securities shall be non-voting and shall be convertible into voting Securities on such terms as are requested by CIT/VC in light of regulatory considerations then prevailing, and (C) to continue and preserve the respective allocation of the voting interests with respect to the Company arising out of CIT/VC's ownership of voting Securities of the Company and/or provided for in this Agreement before the transfers and amendments referred to above (including entering into such additional agreements as are requested by CIT/VC to permit any Person(s) designated by CIT/VC to exercise any voting power which is relinquished by CIT/VC upon any exchange of voting Securities for nonvoting Securities of the Company); and the Company shall enter into such additional agreements, adopt such amendments to this Agreement, the Company's Charter and the Company's By-laws and other relevant agreements and taking such additional actions, in each case as are reasonably requested by CIT/VC in order to effectuate the intent of the foregoing. If CIT/VC elects to transfer Securities of the Company to a Regulated Holder in order to avoid a Regulatory Problem, the Company shall enter into such agreements with such Regulated Holder as it may reasonably request in order to assist such Regulated Holder in complying with applicable laws, and regulations to which it is subject. Such agreements may include restrictions on the 39. redemption, repurchase or retirement of Securities of the Company that would result or be reasonably expected to result in such Regulated Holder holding more voting securities or total securities (equity and debt) than it is permitted to hold under such laws and regulations.

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