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R2014-124 PRO-ACCOUNT PLAN SPONSOR AGREEMENT
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R2014-124 PRO-ACCOUNT PLAN SPONSOR AGREEMENT
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7/24/2015 9:23:55 AM
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Resolution/Ordinance
Res Ord Num
R2014-124
Res Ord Title
APPROVING PRO-ACCOUNT PLAN SPONSOR AGREEMENT WITH NATIONWIDE INVESTMENT ADVISORS, LLC
Approved Date
10/6/2014
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Advice Program for Plan Sponsors of Trustee Directed Retirement Plans <br /> NIA does not vote proxies for any securities held in an Advice Program account. Nationwide Trust Company <br /> utilizes an outside vendor, third-party proxy processor, to coordinate the proxy communication and voting <br /> process. Plan sponsors and trustees retain the responsibility for receiving and voting proxies for any and all <br /> securities maintained in their plans. Nationwide's regulatory services department coordinates with the third- <br /> party proxy processor to finalize lists of clients with holdings affected by a particular proxy. The third-party <br /> proxy processor is then given direction to send proxy materials to affected plan sponsors and trustees. Proxy <br /> materials contain website locations for more information, along with a phone number to contact the third- <br /> party proxy processor if the recipient has any questions. The third-party proxy processor then receives, <br /> compiles, and tabulates the results of the proxy votes and forwards the results to the applicable fund houses. <br /> Nationwide ProAccount in the Nationwide Retirement Program and the NRS Retirement Proaram <br /> NIA does not take any action or render any advice with respect to the voting of proxies solicited by or with <br /> respect to issuers of securities held in ProAccount Client accounts. NRS and Nationwide Trust Company utilize <br /> an outside vendor, third-party proxy processor, to coordinate the proxy communication and voting process. <br /> Plan sponsors and trustees retain the responsibility for receiving and voting proxies for any and all securities <br /> maintained in their plans. Nationwide's regulatory services department coordinates with the third-party proxy <br /> processor to finalize lists of clients with holdings affected by a particular proxy. The third-party proxy <br /> processor is then given direction to send proxy materials to affected plan sponsors and trustees. Proxy <br /> materials contain website locations for more information, along with a phone number to contact the third- <br /> party proxy processor if the recipient has any questions. The third-party proxy processor then receives, <br /> compiles, and tabulates the results of the proxy votes and forwards the results to the applicable fund houses. <br /> Item 18 Financial Information <br /> Registered investment advisers are required to provide clients with certain financial information or disclosures <br /> about their financial condition. NIA has no financial commitment that impairs its ability to meet its contractual <br /> and fiduciary commitments to clients,and has not been the subject of a bankruptcy proceeding. <br /> 22 <br />
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