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AU-1.3.3

Acting as an administrator refers to administering certain specified functions in relation to financial instruments that include the following:

a) legal and fund management accounting services;
b) client inquiries;
c) valuation and pricing (including tax returns);
d) regulatory compliance monitoring;
e) maintenance of unit-holder register;
f) distribution of income;
g) unit issues and redemption;
h) contract settlements (including certificate dispatch); and
i) record-keeping.