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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/16/24 Sep Acct A of Pacific Life & … Co 485APOS 35:6.6M Toppan Merrill/FA → Separate Account A of Pacific Life & Annuity Co. (811-09203) ⇒ Pacific Choice Variable Annuity |
Document/Exhibit Description Pages Size 1: 485APOS Post-Effective Amendment of a Form N-1 or N-1A HTML 4.24M Registration 2: EX-99.(3)(A) Miscellaneous Exhibit HTML 48K 3: EX-99.(4)(T)(1) Miscellaneous Exhibit HTML 50K 34: EX-99.(8)(AA) Miscellaneous Exhibit HTML 20K 4: EX-99.(8)(C) Miscellaneous Exhibit HTML 99K 5: EX-99.(8)(D)(1) Miscellaneous Exhibit HTML 19K 6: EX-99.(8)(E) Miscellaneous Exhibit HTML 187K 7: EX-99.(8)(E)(1) Miscellaneous Exhibit HTML 34K 8: EX-99.(8)(E)(2) Miscellaneous Exhibit HTML 20K 9: EX-99.(8)(F) Miscellaneous Exhibit HTML 23K 10: EX-99.(8)(G) Miscellaneous Exhibit HTML 42K 11: EX-99.(8)(H) Miscellaneous Exhibit HTML 41K 12: EX-99.(8)(H)(1) Miscellaneous Exhibit HTML 119K 13: EX-99.(8)(I) Miscellaneous Exhibit HTML 136K 14: EX-99.(8)(J) Miscellaneous Exhibit HTML 29K 15: EX-99.(8)(K) Miscellaneous Exhibit HTML 31K 16: EX-99.(8)(L) Miscellaneous Exhibit HTML 132K 17: EX-99.(8)(L)(1) Miscellaneous Exhibit HTML 20K 18: EX-99.(8)(M) Miscellaneous Exhibit HTML 60K 19: EX-99.(8)(N) Miscellaneous Exhibit HTML 169K 20: EX-99.(8)(O) Miscellaneous Exhibit HTML 21K 21: EX-99.(8)(P) Miscellaneous Exhibit HTML 16K 22: EX-99.(8)(Q) Miscellaneous Exhibit HTML 52K 23: EX-99.(8)(R) Miscellaneous Exhibit HTML 123K 24: EX-99.(8)(R)(1) Miscellaneous Exhibit HTML 23K 25: EX-99.(8)(R)(2) Miscellaneous Exhibit HTML 22K 26: EX-99.(8)(S) Miscellaneous Exhibit HTML 37K 27: EX-99.(8)(T) Miscellaneous Exhibit HTML 21K 28: EX-99.(8)(U) Miscellaneous Exhibit HTML 99K 29: EX-99.(8)(U)(1) Miscellaneous Exhibit HTML 23K 30: EX-99.(8)(W) Miscellaneous Exhibit HTML 124K 31: EX-99.(8)(X) Miscellaneous Exhibit HTML 24K 32: EX-99.(8)(Y) Miscellaneous Exhibit HTML 149K 33: EX-99.(8)(Z) Miscellaneous Exhibit HTML 27K 35: EX-99.16 Miscellaneous Exhibit HTML 257K
1. | Investor Service Expense Payments |
2. | Services Provided by the Insurers |
• | periodic reporting of information to the Company. | ||
• | preparation, printing and distribution of confirmation and periodic account statements to owners of Contracts and Policies indirectly invested in Shares of the Fund. | ||
• | solicitation of Contract owner and Policy owner voting instructions and tabulation of the same. | ||
• | attendance at and participation in meetings of holders of Shares of the Fund. | ||
• | provide other administrative support to the Company or the Fund as mutually agreed from time to time between the Company and each Insurer. | ||
• | maintain records of daily transactions in separate account units and compute the number of Shares that must be purchased or redeemed each day to support such transactions. | ||
• | to the extent necessary for the Company to comply with Rule 22c-2 under the 1940 Act and its policies on frequent trading, make available to the Company or |
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its agents the records of daily transactions in separate account units, it being understood that the Insurers shall not be obligated to violate any federal or state law or rule or regulation thereunder concerning privacy of Contract owners. |
• | assist the Company in complying with Section 314(b) of the USA Patriot Act by implementing policies and procedures reasonably designed to identify owners or prospective owners of Contracts or Policies suspected of possible terrorist or money-laundering activities and prevent the same from indirectly investing in Shares. | ||
• | transmission of requests to purchase and redeem Shares to the Company’s transfer agent or NSCC. | ||
• | assist the Company’s transfer agent in recording the issuance of Shares by maintaining a record of daily purchases and redemptions of Shares. | ||
• | prepare and provide reports to third-party reporting services. | ||
• | relieve the Company, the Fund, or the Company’s transfer agent of other incidental record keeping or administrative services generally provided by mutual funds (or their transfer agents) to their shareholders by providing the same to owners of Contracts and Policies indirectly invested in Shares of the Fund. |
3. | Third Party Service Providers |
• | the retention must be pursuant to a written agreement (a “retention agreement”) conforming in substance to the terms of this Agreement (i.e., not inconsistent with any term or provision of this Agreement) and provided to the Company for its approval at least seven (7) days in advance of its execution. | ||
• | in the event that the Insurer retains a third-party to perform fewer than all of the services provided for herein, any compensation under this Agreement that the Insurer retains must be commensurate with the services it provides under this agreement. |
4. | Nature of Payments |
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5. | Representations and Warranties |
• | the Company has the legal authority to make the payments under this Agreement. | ||
• | the Company will perform its obligations under this Agreement in compliance with applicable law. | ||
• | the payments made by the Company to each Insurer under this Agreement are for the record keeping and other administrative services described herein and are not “sales charges” as defined in FINRA Conduct Rule 2830(b)(8). | ||
• | the payments made by the Company to each Insurer under this Agreement are not compensation for the purchase or sale of Shares or other Fund shares to any separate account of the Insurer. |
• | the Insurer has the legal authority to accept the payments made to it by the Company under this Agreement. | ||
• | the Insurer will perform its obligations under this Agreement in compliance with applicable law. | ||
• | payments received by the Insurer from the Company under this Agreement are for the record keeping and other administrative services described herein and are not “sales charges” as defined in FINRA Conduct Rule 2830(b)(8). | ||
• | the Insurer will not use the payments made to it by the Company under this Agreement for any purpose coming within the meaning of “personal services and/or the maintenance of shareholder accounts” as referenced in FINRA Conduct Rule 2830(b)(9) (and having the same meaning given to it in FINRA Notices to Members 90-56, 92-41 and 93-12). | ||
• | regarding use of payments made to the Insurer by the Company under this Agreement: |
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o | the Insurer will not use the payments made to it by the Company under this Agreement to finance sales or sales promotion expenses of the Contracts, Policies or Shares, or to finance any activity primarily intended to result in the sale or distribution of the Contracts, Policies, or Shares. | ||
o | in the case of group Contracts sold to sponsors of employee benefit plans, the Insurer will not use the payments made to it by the Company under this Agreement to finance sales or sales promotion expenses of soliciting plan participants to become participants under a group Contract held by their plan and thereby invest indirectly in Shares, or to finance any activity primarily intended to result in the sale or distribution of the Contracts or Shares to plan participants. | ||
o | in the event that the Insurer pays all or part of the payments made to it by the Company under this Agreement to a record keeper retained by an employee benefit plan holding a group Contract, such record keeper will not be a broker-dealer. |
• | payments received by the Insurer from the Company under this Agreement are not compensation to the Insurer for the purchase or sale of Shares or other Fund shares by it for any separate account of the Insurer. | ||
• | the Insurer will not use the payments received from the Company under this Agreement to finance any activity primarily intended to result in the promotion, sale or distribution of Shares or otherwise promote the Fund to owners of Contracts entitled to invest indirectly in Shares services provided by the Insurer to the Company under this Agreement have not been financed or paid for out of revenues received by the Insurer in the form of fees or charges under the Contracts or the Policies, nor does the Insurer receive compensation, except under this Agreement, for the services performed under this Agreement. This provision, however, does not prohibit an Insurer from paying to an agent acting as a third-party service provider pursuant to Section 3 hereof, an amount for providing Investor Services in excess of the amount shown in Section 1(a) hereof. | ||
• | the fees and charges deducted under the Contracts and the Policies, along with the payments received by it from the Company under this Agreement, in the aggregate, are reasonable in relation to the services rendered, the expenses the Insurer incurs or expects to incur, and the risks the Insurer assumes under the Contracts and Policies. | ||
• | the Insurer is solely responsible for the design of the Contracts and Policies including the fees and charges assessed thereunder. The Insurer is solely responsible for the selection of the Fund as a mutual fund investment option for Contracts shown on Schedule B. | ||
• | the Insurer is solely responsible for the selection of the Fund as the sole mutual fund investment option for Contracts shown on Schedule B. |
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• | the Insurer’s written compliance policies and procedures include policies and procedures reasonably designed to ensure that each representation and warranty herein remains true throughout the term of this agreement. |
6. | Annual Certification |
• | the Insurer’s lack of good faith or willful misconduct in carrying out its duties and responsibilities under this Agreement, | ||
• | the failure of the Insurer to comply with any applicable law, rule or regulation in connection with the discharge of any obligations under this Agreement, or | ||
• | any breach by the Insurer of any material provision of this Agreement, including any breach by the Insurer of any representation made by it in the Agreement. |
• | the Company’s lack of good faith or willful misconduct in carrying out its duties and responsibilities under this Agreement, | ||
• | the failure of the Company to comply with any applicable law, rule or regulation in connection with the discharge of any obligations under this Agreement, or | ||
• | any breach by the Company of any material provision of this Agreement, including any breach by the Company of any representation made by it in the Agreement. |
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8. | Term |
9. | Termination |
10. | Amendment |
11. | Notices |
12. | Miscellaneous |
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PACIFIC LIFE AND ANNUITY | GE INVESTMENTS FUNDS, INC. | |||||
COMPANY | ||||||
By:
|
/s/ Anthony J. Dufault | By: | /s/ Michael J. Cosgrove | |||
Name:
|
Anthony J. Dufault | Name: | Michael J. Cosgrove | |||
Title:
|
Assistant Vice President | Title: | President & CEO, Mutual Funds | |||
Attest: |
/s/ Audrey L. Milfs | |||||
Name: |
Audrey L. Milfs | |||||
Title:
|
Corporate Secretary | |||||
PACIFIC LIFE INSURANCE | ||||||
COMPANY | ||||||
By: |
/s/ Anthony J. Dufault | |||||
Name: |
Anthony J. Dufault | |||||
Title:
|
Assistant Vice President | |||||
Attest: |
/s/ Audrey L. Milfs | |||||
Name: |
Audrey L. Milfs | |||||
Title:
|
Corporate Secretary |
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* | These Contracts are only offered by Pacific Life Insurance Company. |
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This ‘485APOS’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed as of: | 2/16/24 | 485APOS | ||
Filed on: | 2/15/24 | 485APOS | ||
11/20/09 | ||||
List all Filings |