Aml Delegation. Dated: April 1, 2013
Aml Delegation. Schedule 1.2 to the Agreement is hereby amended as follows:
Section 4.1 (j) is deleted and the subsections that follow are re-numbered as subsections (j) through (o).
Section 4.2 is revised to delete the reference to “a Form 8300”.
Aml Delegation. In the event that the Transfer Agent detects activity as a result of the foregoing procedures, which necessitates the filing by the Transfer Agent of a SAR or other similar report or notice to OFAC, then the Transfer Agent shall also immediately notify the Fund, unless prohibited by applicable law.
Aml Delegation. Review purchase and redemption activity by check that meets or exceeds $100,000 threshold on any given day;
Aml Delegation hereunder. Additionally, the parties acknowledge and agree that the Transfer Agent shall only be responsible for performing the AML Procedures with respect to the ownership of, and transactions in, Shares in the Fund for which the Transfer Agent maintains the applicable Shareholder information.
Aml Delegation. In the event that the Transfer Agent detects activity as a result of the foregoing procedures, which necessitates the filing by the Transfer Agent of a SAR or other similar report or notice to OFAC, then the Transfer Agent shall also immediately notify the Fund, unless prohibited by applicable law. STATE STREET INSTITUTIONAL INVESTMENT TRUST ON BEHALF OF ITSELF AND EACH OF ITS PORTFOLIOS, INDIVIDUALLY AND NOT JOINTLY, AS LISTED ON SCHEDULE A By: Name: Title: As an Authorized Officer on behalf of each of the Funds indicated on Schedule A SSGA FUNDS ON BEHALF OF ITSELF AND EACH OF ITS PORTFOLIOS, INDIVIDUALLY AND NOT JOINTLY, AS LISTED ON SCHEDULE A BOSTON FINANCIAL DATA SERVICES, INC. By: By: Name: Name: Title: Title: As an Authorized Officer on behalf of each of the Funds indicated on Schedule A
Aml Delegation. Agent shall only be responsible for performing the AML Procedures with respect to the ownership of, and transactions in, Shares in the Fund for which the Transfer Agent maintains the applicable Shareholder information.
Aml Delegation. 4.2 In the event that the Transfer Agent detects activity as a result of the foregoing procedures, which necessitates the filing by the Transfer Agent of a SAR or other similar report or notice to OFAC, then the Transfer Agent shall also immediately notify the Fund, unless prohibited by applicable law.
4.3 In addition to the SSAE16, the Transfer Agent shall provide the Fund with a copy of its Annual Compliance Report prepared by the Transfer Agent’s independent auditors, which covers the AML Services.
4.4 The Transfer Agent shall make available to the Fund statistical information with respect to performance of the AML Procedures for the Fund. The statistical information may be provided to the Fund in reports or, if the Fund elects to use the Transfer Agent’s Compliance Corner site, the information will be provided to the Fund on-line. The Transfer Agent shall also provide the Fund, upon request, with annual AML certifications.
Aml Delegation. Obtain customer information, create and retain retrievable records required under 31 CFR 1010.410 in connection with the transmittals of funds in amounts equal to or in excess of $3,000, and transmit such information on the transactions to the receiving financial institutions.
Aml Delegation. Xxxxxxxxxx.Xx connection with the Bank Secrecy Act (“BSA”), the enactment of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (“USA PATRIOT Act”), the laws, rules, regulations and government guidance promulgated thereunder, including the customer identification program (“CIP”), reporting, recordkeeping and other requirements of the USA PATRIOT Act, and the programs administered by the U.S. Treasury Department's Office of Foreign Assets Control (“OFAC”) and Financial Crimes Enforcement Network (“FinCEN”), (collectively referred to herein as “AML Laws”), the Fund has developed and implemented a written anti-money laundering program (the "AML Program"), which is designed to satisfy applicable anti-money laundering (“AML”) requirements. Under the USA PATRIOT Act, a mutual fund can elect to delegate certain duties with respect to the implementation and operation of its AML program to a service provider, including its transfer agent. The Fund is desirous of having the Transfer Agent perform certain delegated duties pursuant to the AML Program and the Transfer Agent desires to accept such delegation.