Select (a) or (b) in Section 29 and execute on next page:
29.
Company Responsibility for Other Providers.
[ ] a. Company does not offer products of any other investment providers, and will not
do so prior to completing a new agreement with the Employer to properly address
necessary compliance coordination with respect to such other investment providers.
[ ] b. Company offers products of one or more other investment providers.
Select all
that apply
:
[ ] 1. PROVIDERS CURRENTLY AUTHORIZED: Company is offering
products of one or more providers that is/are already authorized under the Plan
pursuant to separate agreement(s) with the Employer.
[ ] 2. PROVIDERS NOT CURRENTLY AUTHORIZED; COMPANY WILL
PERFORM ALL REQUIRED INVESTMENT PROVIDER COMPLIANCE
FUNCTIONS: Company will perform all of the following obligations with
respect to products offered by Company and provided by one or more underlying
investment providers, including but not limited to: providing SPARK data;
approving transactions as identified in Company’s agreement with the Employer
only upon receipt of a Distribution Eligibility Certificate; coordinating and
complying with Plan and Code rules governing exchanges and transfers; and
entering into enforceable agreements with those investment providers to ensure
continued compliance with the requirements of the Plan and the Code, including
obligations that survive the termination of this Agreement, and copies of such
executed agreements shall be provided to Employer upon request. Company
understands that it will retain these responsibilities until they have been
terminated by reasonable advance written notice to Employer and Administrator.
[ ] 3. PROVIDERS NOT CURRENTLY AUTHORIZED; COMPANY AND
PROVIDERS WILL SHARE INVESTMENT PROVIDER COMPLIANCE
FUNCTIONS: Company will provide SPARK data for these underlying
investment providers that are not otherwise separately authorized under the plan.
Each of these underlying investment providers will perform one or more of the
functions described in (1) above and will be required to enter into an agreement
substantially similar to this Agreement directly with Employer; and such
executed agreement shall be provided to Employer, prior to Company’s
establishing any contracts and/or accounts under the Plan with such underlying
investment providers.
Ver 04102013
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