Rules and Regulations
promulgated
under the
Investment Company Act of 1940
Rule 31a-3 -- Records Prepared or Maintained by Other than Person Required to Maintain and Preserve Them
If the records required to be maintained and preserved
pursuant to the provisions of Rule 31a-1 and Rule
31a-2 are prepared or maintained by others on behalf of the person required to
maintain and preserve such records, the person required to maintain and preserve
such records shall obtain from such other person an agreement in writing to the effect
that such records are the property of the person required to maintain and preserve
such records and will be surrendered promptly on request.
In cases where a bank or member of a national securities
exchange acts as custodian, transfer agent, or dividend disbursing agent, compliance
with this section shall be considered to have been met if such bank or exchange member
agrees in writing to make any records relating to such service available upon request
and to preserve for the periods prescribed in Rule 31a-2
any such records as are required to be maintained by Rule
31a-1.
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