Funds Transfer Service Global Horizon Interchange Funds Transfer. Service (FTS) is a State Street proprietary microcomputer-based wire initiation system. FTS enables Clients to electronically transmit authenticated Fedwire, CHIPS or internal book transfer instructions to State Street. This delivery mechanism is most appropriate for Clients with a low-to-medium number of transactions (50-75 per day), allowing Clients to enter, batch, and review wire transfer instructions on their PC prior to release to State Street. [ ] Telephone Confirmation (Callback) Telephone confirmation will be used to verify all non-repetitive funds transfer instructions received via untested facsimile or phone. This procedure requires Clients to designate individuals as authorized initiators and authorized verifiers. State Street will verify that the instruction contains the signature of an authorized person and prior to execution, will contact someone other than the originator at the Client's location to authenticate the instruction. Selection of this alternative is appropriate for Clients who do not have the capability to use other security procedures. [ ] Repetitive Wires For situations where funds are transferred periodically (minimum of one instruction per calendar quarter) from an existing authorized account to the same payee (destination bank and account number) and only the date and currency amount are variable, a repetitive wire may be implemented. Repetitive wires will be subject to a mutually agreed upon limit. If the payment order exceeds the established limit, the instruction will be confirmed by telephone prior to execution. Telephone confirmation is used to establish this process. Repetitive wire instructions must be reconfirmed annually. This alternative is recommended whenever funds are frequently transferred between the same two accounts. [ ] Transfers Initiated by Facsimile The Client faxes wire transfer instructions directly to State Street Mutual Fund Services. Standard security procedure requires the use of a random number test key for all transfers. Every six months the Client receives test key logs from State Street. The test key contains alpha-numeric characters, which the Client puts on each document faxed to State Street. This procedure ensures all wire instructions received via fax are authorized by the Client. We provide this option for Clients who wish to batch wire instructions and transmit these as a group to State Street Mutual Fund Services once or several times a day. FUNDS TRANSFER ADDENDUM (LOGO) [ ] Automated Clearing House (ACH) State Street receives an automated transmission or a magnetic tape from a Client for the initiation of payment (credit) or collection (debit) transactions through the ACH network. The transactions contained on each transmission or tape must be authenticated by the Client. Clients using ACH must select one or more of the following delivery options: [ ] Global Horizon Interchange Automated Clearing House Service Transactions are created on a microcomputer, assembled into batches and delivered to State Street via fully authenticated electronic transmissions in standard NACHA formats. [ ] Transmission from Client PC to State Street Mainframe with Telephone Callback [ ] Transmission from Client Mainframe to State Street Mainframe with Telephone Callback [ ] Transmission from DST Systems to State Street Mainframe with Encryption [ ] Magnetic Tape Delivered to State Street with Telephone Callback State Street is hereby instructed to accept funds transfer instructions only via the delivery methods and security procedures indicated. The selected delivery methods and security procedure(s) will be effective ________________ for payment orders initiated by our organization. Key Contact Information Whom shall we contact to implement your selection(s)? CLIENT OPERATIONS CONTACT ALTERNATE CONTACT ------------------------------ --------------------------------- Name Name ------------------------------ --------------------------------- Address Address ------------------------------ --------------------------------- City/State/Zip Code City/State/Zip Code ------------------------------ --------------------------------- Telephone Number Telephone Number ------------------------------ --------------------------------- Facsimile Number Facsimile Number ------------------------------ SWIFT Number ------------------------------ Telex Number FUNDS TRANSFER ADDENDUM (LOGO) INSTRUCTION(S) TELEPHONE CONFIRMATION Fund LM Institutional Fund Advisors II, Inc. ----------------------------------------- Investment Adviser Xxxx Xxxxx Fund Adviser, Inc. ------------------------------ Authorized Initiators Please Type or Print Please provide a listing of Fund officers or other individuals are currently authorized to INITIATE wire transfer instructions to State Street: NAME TITLE (Specify whether position SPECIMEN SIGNATURE is with Fund or Investment Adviser) Xxxxx X. Xxxxxxxxx Vice President & Treasurer /s/ Xxxxx X. Xxxxxxxxx ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx Fund Manager /s/ Xxxxx X. Xxxxx ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx Fund Manager /s/ W. Xxxxx Xxxxxx ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- Authorized Verifiers Please Type or Print Please provide a listing of Fund officers of other individuals who will be CALLED BACK to verify the initiation of repetitive wires of $10 million or more and all non repetitive wire instructions: NAME CALLBACK PHONE NUMBER DOLLAR LIMITATION (IF ANY) Xxxxx X. Xxxxxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- TRANSFER AGENCY AND SERVICE AGREEMENT between LM INSTITUTIONAL FUND ADVISORS II, INC. and STATE STREET BANK AND TRUST COMPANY 1G - Domestic Corp/Series TABLE OF CONTENTS Page
Appears in 1 contract
Samples: Custodian Contract (Lm Institutional Fund Advisors Ii Inc)
Funds Transfer Service Global Horizon Interchange Funds Transfer. Service (FTS) is a State Street proprietary microcomputer-based wire initiation system. FTS enables Clients to electronically transmit authenticated Fedwire, CHIPS or internal book transfer instructions to State Street. This delivery mechanism is most appropriate for Clients with a low-to-medium number of transactions (505-75 per day), allowing Clients to enter, batch, and review wire transfer instructions on their PC prior to release to State StreetXxxxx Xxxxxx. [ ] ]Telephone Confirmation (Callback) Telephone confirmation will be used to verify all non-repetitive funds transfer instructions received via untested facsimile or phone. This procedure requires Clients to designate individuals as authorized initiators and authorized verifiers. State Street will verify that the instruction contains the signature of an authorized person and prior to execution, will contact someone other than the originator at the Client's location to authenticate the instruction. Selection of this alternative is appropriate for Clients who do not have the capability to use other security procedures. [ ] ]Repetitive Wires For situations where funds are transferred periodically (minimum of one instruction per calendar quarter) from an existing authorized account to the same payee (destination bank and account number) and only the date and currency amount are variable, a repetitive wire may be implemented. Repetitive wires will be subject to a mutually agreed upon limit. If the payment order exceeds the established limit, the instruction will be confirmed by telephone prior to execution. Telephone confirmation is used to establish this process. Repetitive wire instructions must be reconfirmed annually. This alternative is recommended whenever funds are frequently transferred between the same two accounts. [ ] ]Transfers Initiated by Facsimile The Client faxes wire transfer instructions directly to State Street Mutual Fund Services. Standard security procedure requires the use of a random number test key for all transfers. Every six months the Client receives test key logs from State Street. The test key contains alpha-numeric characters, which the Client puts on each document faxed to State Street. This procedure ensures all wire instructions received via fax are authorized by the Client. We provide this option for Clients who wish to batch wire instructions and transmit these as a group to State Street Mutual Fund Services once or several times a day. FUNDS TRANSFER ADDENDUM (LOGO) [ ] ]"Automated Clearing House (ACH) State Street receives an automated transmission or a magnetic tape from a Client for the initiation of payment (credit) or collection (debit) transactions through the ACH network. The transactions contained on each transmission or tape must be authenticated by the Client. Clients using ACH must select one or more of the following delivery options: [ ] ]Global Horizon Interchange Automated Clearing House Service Transactions are created on a microcomputer, assembled into batches and delivered to State Street via fully authenticated electronic transmissions in standard NACHA formats. [ ] ]Transmission from Client PC to State Street Mainframe with Telephone Callback FUNDS TRANSFER ADDENDUM [ ] ]Transmission from Client Mainframe to State Street Mainframe with Telephone Callback [ ] ]Transmission from DST Systems to State Street Mainframe with Encryption [ ] Magnetic Tape Delivered to State Street with Telephone Callback State Street is hereby instructed to accept funds transfer instructions only via the delivery methods and security procedures indicated. The selected delivery methods and security procedure(s) will be effective ________________ for payment orders initiated by our organization. Key Contact Information Whom shall we contact to implement your selection(s)? CLIENT OPERATIONS CONTACT ALTERNATE CONTACT ------------------------------ --------------------------------- ------------------------------- ----------------------------- Name Name ------------------------------ --------------------------------- ------------------------------- ----------------------------- Address Address ------------------------------ --------------------------------- ------------------------------- ----------------------------- City/State/Zip Code City/State/Zip Code ------------------------------ --------------------------------- ------------------------------- ----------------------------- Telephone Number Telephone Number ------------------------------ --------------------------------- ------------------------------- ----------------------------- Facsimile Number Facsimile Number ------------------------------ ------------------------------- SWIFT Number ------------------------------ ------------------------------- Telex Number FUNDS TRANSFER ADDENDUM (LOGO) INSTRUCTION(S) TELEPHONE CONFIRMATION Fund LM Institutional Fund Advisors II, Inc. ----------------------------------------- Investment Adviser Xxxx Xxxxx Fund Adviser, Inc. ------------------------------ Authorized Initiators Please Type or Print Please provide a listing of Fund officers or other individuals who are currently authorized to INITIATE wire transfer instructions to State Street: NAME TITLE (Specify whether position is SPECIMEN SIGNATURE is with Fund or Investment (Adviser) Xxxxx X. Xxxxxxxxx Vice President & Treasurer /s/ Xxxxx X. Xxxxxxxxx ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx Fund Manager /s/ Xxxxx X. Xxxxx ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx Fund Manager /s/ W. Xxxxx Xxxxxx ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- Authorized Verifiers Please Type or Print Please provide a listing of Fund officers of or other individuals who will be CALLED BACK to verify the initiation of repetitive wires of $10 million or more and all non non-repetitive wire instructions: NAME CALLBACK PHONE NUMBER DOLLAR LIMITATION (IF ANYif any) Xxxxx X. Xxxxxxxxx 000REMOTE ACCESS SERVICES ADDENDUM TO MASTER CUSTODIAN CONTRACT ADDENDUM to that certain Master Custodian Contract dated as of September 1, 2005 (the "Custodian Agreement") between each of the entities set forth on Appendix A thereto (collectively, the "Customer") and State Street Bank and Trust Company, including its subsidiaries and affiliates ("State Street"). State Street has developed and utilizes proprietary accounting and other systems in conjunction with the custodian services which State Street provides to the Customer. In this regard, State Street maintains certain information in databases under its control and ownership which it makes available to its customers (the "Remote Access Services"). The Services State Street agrees to provide the Customer, and its designated investment advisors, consultants or other third parties authorized by State Street ("Authorized Designees") with access to In-000-0000 N/Sightsm as described in Exhibit A ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- TRANSFER AGENCY AND SERVICE AGREEMENT between LM INSTITUTIONAL FUND ADVISORS IIor such other systems as may be offered from time to time (the "System") on a remote basis. Security Procedures The Customer agrees to comply, INCand to cause its Authorized Designees to comply, with remote access operating standards and procedures and with user identification or other password control requirements and other security procedures as may be issued from time to time by State Street for use of the System and access to the Remote Access Services. The Customer agrees to advise State Street immediately in the event that it learns or has reason to believe that any person to whom it has given access to the System or the Remote Access Services has violated or intends to violate the terms of this Addendum and STATE STREET BANK AND TRUST COMPANY 1G - Domestic Corp/Series TABLE OF CONTENTS Pagethe Customer will cooperate with State Street in seeking injunctive or other equitable relief. The Customer agrees to discontinue use of the System and Remote Access Services, if requested, for any security reasons cited by State Street.
Appears in 1 contract
Samples: Master Custodian Agreement (IXIS Advisor Funds Trust II)
Funds Transfer Service Global Horizon Interchange Funds Transfer. Service (FTS) is a State Street proprietary microcomputer-based wire initiation system. FTS enables Clients to electronically transmit authenticated Fedwire, CHIPS or internal book transfer instructions to State Street. This delivery mechanism is most appropriate for Clients with a low-to-medium number of transactions (505-75 per day), allowing Clients to enter, batch, and review wire transfer instructions on their PC prior to release to State Street. [ ] ]Telephone Confirmation (Callback) Telephone confirmation will be used to verify all non-repetitive funds transfer instructions received via untested facsimile or phone. This procedure requires Clients to designate individuals as authorized initiators and authorized verifiers. State Street will verify that the instruction contains the signature of an authorized person and prior to execution, will contact someone other than the originator at the Client's location to authenticate the instruction. Selection of this alternative is appropriate for Clients who do not have the capability to use other security procedures. [ ] ]Repetitive Wires For situations where funds are transferred periodically (minimum of one instruction per calendar quarter) from an existing authorized account to the same payee (destination bank and account number) and only the date and currency amount are variable, a repetitive wire may be implemented. Repetitive wires will be subject to a mutually agreed upon limit. If the payment order exceeds the established limit, the instruction will be confirmed by telephone prior to execution. Telephone confirmation is used to establish this process. Repetitive wire instructions must be reconfirmed annually. This alternative is recommended whenever funds are frequently transferred between the same two accounts. [ ] ]Transfers Initiated by Facsimile The Client faxes wire transfer instructions directly to State Street Mutual Fund Services. Standard security procedure requires the use of a random number test key for all transfers. Every six months the Client receives test key logs from State Street. The test key contains alpha-numeric characters, which the Client puts on each document faxed to State Street. This procedure ensures all wire instructions received via fax are authorized by the Client. We provide this option for Clients who wish to batch wire instructions and transmit these as a group to State Street Mutual Fund Services once or several times a day. FUNDS TRANSFER ADDENDUM (LOGO) [ ] ]Automated Clearing House (ACH) State Street receives an automated transmission or a magnetic tape from a Client for the initiation of payment (credit) or collection (debit) transactions through the ACH network. The transactions contained on each transmission or tape must be authenticated by the Client. Clients using ACH must select one or more of the following delivery options: [ ] ]Global Horizon Interchange Automated Clearing House Service Transactions are created on a microcomputer, assembled into batches and delivered to State Street via fully authenticated electronic transmissions in standard NACHA formats. [ ] ]Transmission from Client PC to State Street Mainframe with Telephone Callback [ ] ]Transmission from Client Mainframe to State Street Mainframe with Telephone Callback [ ] ]Transmission from DST Systems to State Street Mainframe with Encryption [ ] ]Magnetic Tape Delivered to State Street with Telephone Callback State Street is hereby instructed to accept funds transfer instructions only via the delivery methods and security procedures indicated. The selected delivery methods and security procedure(s) will be effective __________________ for payment orders initiated by our organization. Key Contact Information Whom shall we contact to implement your selection(s)? CLIENT OPERATIONS CONTACT ALTERNATE CONTACT ------------------------------ --------------------------------- Client operations contact Alternate Contact ------------------------------------ --------------------------- Name Name ------------------------------ --------------------------------- ------------------------------------ --------------------------- Address Address ------------------------------ --------------------------------- ------------------------------------ --------------------------- City/State/Zip Code City/State/Zip Code ------------------------------ --------------------------------- Telephone Number Telephone Number ------------------------------ --------------------------------- Facsimile Number Facsimile Number ------------------------------ SWIFT Number ------------------------------ Telex Number FUNDS TRANSFER ADDENDUM (LOGO) INSTRUCTION(S) TELEPHONE CONFIRMATION Fund LM Institutional Fund Advisors II, Inc. ----------------------------------------- Investment Adviser Xxxx Xxxxx Fund Adviser, Inc. ------------------------------ Authorized Initiators Please Type or Print Please provide a listing of Fund officers or other individuals are currently authorized to INITIATE wire transfer instructions to State Street: NAME TITLE (Specify whether position SPECIMEN SIGNATURE is with Fund or Investment Adviser) Xxxxx X. Xxxxxxxxx Vice President & Treasurer /s/ Xxxxx X. Xxxxxxxxx ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx Fund Manager /s/ Xxxxx X. Xxxxx ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx Fund Manager /s/ W. Xxxxx Xxxxxx ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- Authorized Verifiers Please Type or Print Please provide a listing of Fund officers of other individuals who will be CALLED BACK to verify the initiation of repetitive wires of $10 million or more and all non repetitive wire instructions: NAME CALLBACK PHONE NUMBER DOLLAR LIMITATION (IF ANY) Xxxxx X. Xxxxxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- TRANSFER AGENCY AND SERVICE AGREEMENT between LM INSTITUTIONAL FUND ADVISORS II, INC. and STATE STREET BANK AND TRUST COMPANY 1G - Domestic Corp/Series TABLE OF CONTENTS PageCode
Appears in 1 contract
Samples: Custodian Agreement (Evergreen Managed Income Fund)
Funds Transfer Service Global Horizon Interchange Funds Transfer. Service (FTS) is a State Street proprietary microcomputer-based wire initiation system. FTS enables Clients to electronically transmit authenticated Fedwire, CHIPS or internal book transfer instructions to State Street. This delivery mechanism is most appropriate for Clients with a low-to-medium number of transactions (505-75 per day), allowing Clients to enter, batch, and review wire transfer instructions on their PC prior to release to State Street. [ ] Telephone Confirmation (Callback) Telephone confirmation will be used to verify all non-repetitive funds transfer instructions received via untested facsimile or phone. This procedure requires Clients to designate individuals as authorized initiators and authorized verifiers. State Street will verify that the instruction contains the signature of an authorized person and prior to execution, will contact someone other than the originator at the Client's location to authenticate the instruction. Selection of this alternative is appropriate for Clients who do not have the capability to use other security procedures. [ ] Repetitive Wires For situations where funds are transferred periodically (minimum of one instruction per calendar quarter) from an existing authorized account to the same payee (destination bank and account number) and only the date and currency amount are variable, a repetitive wire may be implemented. Repetitive wires will be subject to a mutually agreed upon limit. If the payment order exceeds the established limit, the instruction will be confirmed by telephone prior to execution. Telephone confirmation is used to establish this process. Repetitive wire instructions must be reconfirmed annually. This alternative is recommended whenever funds are frequently transferred between the same two accounts. [ ] Transfers Initiated by Facsimile The Client faxes wire transfer instructions directly to State Street Mutual Fund Services. Standard security procedure requires the use of a random number test key for all transfers. Every six months the Client receives test key logs from State Street. The test key contains alpha-numeric characters, which the Client puts on each document faxed to State Street. This procedure ensures all wire instructions received via fax are authorized by the Client. We provide this option for Clients who wish to batch wire instructions and transmit these as a group to State Street Mutual Fund Services once or several times a day. FUNDS TRANSFER ADDENDUM (LOGO) [ ] Automated Clearing House (ACH) State Street receives an automated transmission or a magnetic tape from a Client for the initiation of payment (credit) or collection (debit) transactions through the ACH network. The transactions contained on each transmission or tape must be authenticated by the Client. Clients using ACH must select one or more of the following delivery options: [ ] Global Horizon Interchange Automated Clearing House Service Transactions are created on a microcomputer, assembled into batches and delivered to State Street via fully authenticated electronic transmissions in standard NACHA formats. [ ] Transmission from Client PC to State Street Mainframe with Telephone Callback [ ] Transmission from Client Mainframe to State Street Mainframe with Telephone Callback [ ] Transmission from DST Systems to State Street Mainframe with Encryption [ ] Magnetic Tape Delivered to State Street with Telephone Callback State Street is hereby instructed to accept funds transfer instructions only via the delivery methods and security procedures indicated. The selected delivery methods and security procedure(s) will be effective ________________ for payment orders initiated by our organization. Key Contact Information KEY CONTACT INFORMATION Whom shall we contact to implement your selection(s)? CLIENT OPERATIONS CONTACT ALTERNATE CONTACT ------------------------------ --------------------------------- ---------------------------- ---------------------------------- Name Name ------------------------------ --------------------------------- ---------------------------- ---------------------------------- Address Address ------------------------------ --------------------------------- ---------------------------- ---------------------------------- City/State/Zip Code City/State/Zip Code ------------------------------ --------------------------------- ---------------------------- ---------------------------------- Telephone Number Telephone Number ------------------------------ --------------------------------- ---------------------------- ---------------------------------- Facsimile Number Facsimile Number ------------------------------ ---------------------------- SWIFT Number ------------------------------ ---------------------------- Telex Number FUNDS TRANSFER ADDENDUM (LOGO) INSTRUCTION(S) -------------- TELEPHONE CONFIRMATION ---------------------- Fund LM Institutional Fund Advisors II, Inc. ----------------------------------------- Eaton Vance Series Trust II --------------------------------------------- Investment Adviser Xxxx Xxxxx Fund Adviser, Inc. ------------------------------ Authorized Initiators ------------------------------- AUTHORIZED INITIATORS Please Type or Print Please provide a listing of Fund officers or other individuals who are currently authorized to INITIATE wire transfer instructions to State Street: NAME TITLE (Specify whether position SPECIMEN SIGNATURE is with Fund or Investment Adviser) Xxxxx X. Xxxxxxxxx Vice President & Treasurer /s/ Xxxxx X. Xxxxxxxxx ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx Fund Manager /s/ Xxxxx X. Xxxxx ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx Fund Manager /s/ W. Xxxxx Xxxxxx ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- Authorized Verifiers ----------------- ------------------------------- ------------------------ ----------------- ------------------------------- ------------------------ ----------------- ------------------------------- ------------------------ ----------------- ------------------------------- ------------------------ ----------------- ------------------------------- ------------------------ AUTHORIZED VERIFIERS Please Type or Print Please provide a listing of Fund officers of or other individuals who will be CALLED BACK to verify the initiation of repetitive wires of $10 million or more and all non non-repetitive wire instructions: NAME CALLBACK PHONE NUMBER DOLLAR LIMITATION (IF ANY) Xxxxx X. Xxxxxxxxx 000----------------- ------------------------------- ------------------------ ----------------- ------------------------------- ------------------------ ----------------- ------------------------------- ------------------------ ----------------- ------------------------------- ------------------------ ----------------- ------------------------------- ------------------------ REMOTE ACCESS SERVICES ADDENDUM TO CUSTODIAN AGREEMENT ------------------------------------------------------ ADDENDUM to that certain Custodian Agreement dated as of February 9, 2004 (the "Custodian Agreement") between Eaton Vance Series Trust II (the "Customer") and State Street Bxxx xxx Xxust Company, including its subsidiaries and affiliates ("State Street"). State Street has developed and utilizes proprietary accounting and other systems in conjunction with the custodian services which State Street provides to the Customer. In this regard, State Street maintains certain information in databases under its control and ownership which it makes available to its customers (the "Remote Access Services"). THE SERVICES ------------ State Street agrees to provide the Customer, and its designated investment advisors, consultants or other third parties authorized by State Street ("Authorized Designees") with access to In~SightSM as described in Exhibit A or such other systems as may be offered from time to time (the "System") on a remote basis. SECURITY PROCEDURES ------------------- The Customer agrees to comply, and to cause its Authorized Designees to comply, with remote access operating standards and procedures and with user identification or other password control requirements and other security procedures as may be issued from time to time by State Street for use of the System and access to the Remote Access Services. The Customer agrees to advise State Street immediately in the event that it learns or has reason to believe that any person to whom it has given access to the System or the Remote Access Services has violated or intends to violate the terms of this Addendum and the Customer will cooperate with State Street in seeking injunctive or other equitable relief. The Customer agrees to discontinue use of the System and Remote Access Services, if requested, for any security reasons cited by State Street. FEES ---- Fees and charges for the use of the System and the Remote Access Services and related payment terms shall be as set forth in the custody fee schedule in effect from time to time between the parties. The Customer shall be responsible for any tariffs, duties or taxes imposed or levied by any government or governmental agency by reason of the transactions contemplated by this Addendum, including, without limitation, federal, state and local taxes, use, value added and personal property taxes (other than income, franchise or similar taxes which may be imposed or assessed against State Street). Any claimed exemption from such tariffs, duties or taxes shall be supported by proper documentary evidence delivered to State Street. Proprietary Information/Injunctive Relief The System and Remote Access Services described herein and the databases, computer programs, screen formats, report formats, interactive design techniques, formulae, processes, systems, software, know- how, algorithms, programs, training aids, printed materials, methods, books, records, files, documentation and other information made available to the Customer by State Street as part of the Remote Access Services and through the use of the System and all copyrights, patents, trade secrets and other proprietary rights of State Street related thereto are the exclusive, valuable and confidential property of State Street and its relevant licensors (the "Proprietary Information"). The Customer agrees on behalf of itself and its Authorized Designees to keep the Proprietary Information confidential and to limit access to its employees and Authorized Designees (under a similar duty of confidentiality) who require access to the System for the purposes intended. The foregoing shall not apply to Proprietary Information in the public domain or required by law to be made public. The Customer agrees to use the Remote Access Services only in connection with the proper purposes of this Addendum. The Customer will not, and will cause its employees and Authorized Designees not to, (i) permit any third party to use the System or the Remote Access Services, (ii) sell, rent, license or otherwise use the System or the Remote Access Services in the operation of a service bureau or for any purpose other than as expressly authorized under this Addendum, (iii) use the System or the Remote Access Services for any fund, trust or other investment vehicle without the prior written consent of State Street, or (iv) allow or cause any information transmitted from State Street's databases, including data from third party sources, available through use of the System or the Remote Access Services, to be published, redistributed or retransmitted for other than use for or on behalf of the Customer, as State Street's customer. The Customer agrees that neither it nor its Authorized Designees will modify the System in any way; enhance or otherwise create derivative works based upon the System, nor will the Customer or the Customer's Authorized Designees reverse engineer, decompile or otherwise attempt to secure the source code for all or any part of the System. The Customer acknowledges that the disclosure of any Proprietary Information, or of any information which at law or equity ought to remain confidential, will immediately give rise to continuing irreparable injury to State Street inadequately compensable in damages at law and that State Street shall be entitled to obtain immediate injunctive relief against the breach or threatened breach of any of the foregoing undertakings, in addition to any other legal remedies which may be available. LIMITED WARRANTIES State Street represents and warrants that it is the owner of and has the right to grant access to the System and to provide the Remote Access Services contemplated herein. Because of the nature of computer information technology including, but not limited to, the use of the Internet, and the necessity of relying upon third party sources, and data and pricing information obtained from third parties, the System and Remote Access Services are provided "AS IS", and the Customer and its Authorized Designees shall be solely responsible for the investment decisions, results obtained, regulatory reports and statements produced using the Remote Access Services. State Street and its relevant licensors will not be liable to the Customer or its Authorized Designees for any direct or indirect, special, incidental, punitive or consequential damages arising out of or in any way connected with the System or the Remote Access Services, nor shall either party be responsible for delays or nonperformance under this Addendum arising out of any cause or event beyond such party's control. State Street will take reasonable steps to ensure that its products (and those of its third-000party suppliers) reflect the available state of the art technology to offer products that are Year 2000 compliant, including, but not limited to, century recognition of dates, calculations that correctly compute same century and multi century formulas and date values, and interface values that reflect the date issues arising between now and December 31, 2099, and if any changes are required, State Street will make the changes to its products at no cost to you and in a commercially reasonable time frame and will require third-0000 N/party suppliers to do likewise. The Customer will do likewise for its systems. EXCEPT AS EXPRESSLY SET FORTH IN THIS ADDENDUM, STATE STREET, FOR ITSELF AND ITS RELEVANT LICENSORS, EXPRESSLY DISCLAIMS ANY AND ALL WARRANTIES CONCERNING THE SYSTEM AND THE SERVICES TO BE RENDERED HEREUNDER, WHETHER EXPRESS OR IMPLIED INCLUDING, WITHOUT LIMITATION, ANY WARRANTY OF MERCHANTIBILITY OR FITNESS FOR A ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- TRANSFER AGENCY AND SERVICE AGREEMENT between LM INSTITUTIONAL FUND ADVISORS IIPARTICULAR PURPOSE. INFRINGEMENT State Street will defend or, INCat our option, settle any claim or action brought against the Customer to the extent that it is based upon an assertion that access to the System or use of the Remote Access Services by the Customer under this Addendum constitutes direct infringement of any patent or copyright or misappropriation of a trade secret, provided that the Customer notifies State Street promptly in writing of any such claim or proceeding and cooperates with State Street in the defense of such claim or proceeding. and STATE STREET BANK AND TRUST COMPANY 1G - Domestic Corp/Series TABLE OF CONTENTS PageShould the System or the Remote Access Services or any part thereof become, or in State Street's opinion be likely to become, the subject of a claim of infringement or the like under any applicable patent or copyright or trade secret laws, State Street shall have the right, at State Street's sole option, to (i) procure for the Customer the right to continue using the System or the Remote Access Services, (ii) replace or modify the System or the Remote Access Services so that the System or the Remote Access Services becomes noninfringing, or (iii) terminate this Addendum without further obligation.
Appears in 1 contract
Samples: Funds Transfer Addendum (Eaton Vance Series Trust Ii)
Funds Transfer Service Global Horizon Interchange Funds Transfer. Service (FTS) is a State Street proprietary microcomputer-based wire initiation system. FTS enables Clients to electronically transmit authenticated Fedwire, CHIPS or internal book transfer instructions to State Street. This delivery mechanism is most appropriate for Clients with a low-to-medium number of transactions (505-75 per day), allowing Clients to enter, batch, and review wire transfer instructions on their PC prior to release to State Street. [ ] Telephone Confirmation (Callback) Telephone confirmation will be used to verify all non-repetitive funds transfer instructions received via untested facsimile or phone. This procedure requires Clients to designate individuals as authorized initiators and authorized verifiers. State Street will verify that the instruction contains the signature of an authorized person and prior to execution, will contact someone other than the originator at the Client's location to authenticate the instruction. Selection of this alternative is appropriate for Clients who do not have the capability to use other security procedures. [ ] Repetitive Wires For situations where funds are transferred periodically (minimum of one instruction per calendar quarter) from an existing authorized account to the same payee (destination bank and account number) and only the date and currency amount are variable, a repetitive wire may be implemented. Repetitive wires will be subject to a mutually agreed upon limit. If the payment order exceeds the established limit, the instruction will be confirmed by telephone prior to execution. Telephone confirmation is used to establish this process. Repetitive wire instructions must be reconfirmed annually. This alternative is recommended whenever funds are frequently transferred between the same two accounts. [ ] Transfers Initiated by Facsimile The Client faxes wire transfer instructions directly to State Street Mutual Fund Services. Standard security procedure requires the use of a random number test key for all transfers. Every six months the Client receives test key logs from State Street. The test key contains alpha-numeric characters, which the Client puts on each document faxed to State Street. This procedure ensures all wire instructions received via fax are authorized by the Client. We provide this option for Clients who wish to batch wire instructions and transmit these as a group to State Street Mutual Fund Services once or several times a day. [GRAPHIC OMITTED] FUNDS TRANSFER ADDENDUM (LOGO) [ ] Automated Clearing House (ACH) State Street receives an automated transmission or a magnetic tape from a Client for the initiation of payment (credit) or collection (debit) transactions through the ACH network. The transactions contained on each transmission or tape must be authenticated by the Client. Clients using ACH must select one or more of the following delivery options: [ ] Global Horizon Interchange Automated Clearing House Service Transactions are created on a microcomputer, assembled into batches and delivered to State Street via fully authenticated electronic transmissions in standard NACHA formats. [ ] Transmission from Client PC to State Street Mainframe with Telephone Callback [ ] Transmission from Client Mainframe to State Street Mainframe with Telephone Callback [ ] Transmission from DST Systems to State Street Mainframe with Encryption [ ] Magnetic Tape Delivered to State Street with Telephone Callback State Street is hereby instructed to accept funds transfer instructions only via the delivery methods and security procedures indicated. The selected delivery methods and security procedure(s) will be effective __________________ for payment orders initiated by our organization. Key Contact Information Whom shall we contact to implement your selection(s)? CLIENT OPERATIONS CONTACT ALTERNATE CONTACT ------------------------------ --------------------------------- ---------------------------- ----------------------------------- Name Name ------------------------------ --------------------------------- ---------------------------- ----------------------------------- Address Address ------------------------------ --------------------------------- ---------------------------- ----------------------------------- City/State/Zip Code City/State/Zip Code ------------------------------ --------------------------------- Telephone Number Telephone Number ------------------------------ --------------------------------- Facsimile Number Facsimile Number ------------------------------ SWIFT Number ------------------------------ Telex Number FUNDS TRANSFER ADDENDUM (LOGO) INSTRUCTION(S) TELEPHONE CONFIRMATION Fund LM Institutional Fund Advisors II, Inc. ----------------------------------------- Investment Adviser Xxxx Xxxxx Fund Adviser, Inc. ------------------------------ Authorized Initiators Please Type or Print Please provide a listing of Fund officers or other individuals are currently authorized to INITIATE wire transfer instructions to State Street: NAME TITLE (Specify whether position SPECIMEN SIGNATURE is with Fund or Investment Adviser) Xxxxx X. Xxxxxxxxx Vice President & Treasurer /s/ Xxxxx X. Xxxxxxxxx ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx Fund Manager /s/ Xxxxx X. Xxxxx ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx Fund Manager /s/ W. Xxxxx Xxxxxx ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- Authorized Verifiers Please Type or Print Please provide a listing of Fund officers of other individuals who will be CALLED BACK to verify the initiation of repetitive wires of $10 million or more and all non repetitive wire instructions: NAME CALLBACK PHONE NUMBER DOLLAR LIMITATION (IF ANY) Xxxxx X. Xxxxxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- TRANSFER AGENCY AND SERVICE AGREEMENT between LM INSTITUTIONAL FUND ADVISORS II, INC. and STATE STREET BANK AND TRUST COMPANY 1G - Domestic Corp/Series TABLE OF CONTENTS PageCode
Appears in 1 contract
Samples: Master Custodian Agreement (Alliancebernstein Fixed Income Shares Inc)
Funds Transfer Service Global Horizon Interchange Funds Transfer. Service (FTS) is a State Street proprietary microcomputer-based wire initiation system. FTS enables Clients to electronically transmit authenticated Fedwire, CHIPS or internal book transfer instructions to State Street. This delivery mechanism is most appropriate for Clients with a low-to-medium number of transactions (505-75 per day), allowing Clients to enter, batch, and review wire transfer instructions on their PC prior to release to State Street. [ ] Telephone Confirmation (Callback) Telephone confirmation will be used to verify all non-repetitive funds transfer instructions received via untested facsimile or phone. This procedure requires Clients to designate individuals as authorized initiators and authorized verifiers. State Street will verify that the instruction contains the signature of an authorized person and prior to execution, will contact someone other than the originator at the Client's location to authenticate the instruction. Selection of this alternative is appropriate for Clients who do not have the capability to use other security procedures. [ ] Repetitive Wires For situations where funds are transferred periodically (minimum of one instruction per calendar quarter) from an existing authorized account to the same payee (destination bank and account number) and only the date and currency amount are variable, a repetitive wire may be implemented. Repetitive wires will be subject to a mutually agreed upon limit. If the payment order exceeds the established limit, the instruction will be confirmed by telephone prior to execution. Telephone confirmation is used to establish this process. Repetitive wire instructions must be reconfirmed annually. This alternative is recommended whenever funds are frequently transferred between the same two accounts. [ ] Transfers Initiated by Facsimile The Client faxes wire transfer instructions directly to State Street Mutual Fund Services. Standard security procedure requires the use of a random number test key for all transfers. Every six months the Client receives test key logs from State Street. The test key contains alpha-numeric characters, which the Client puts on each document faxed to State Street. This procedure ensures all wire instructions received via fax are authorized by the Client. We provide this option for Clients who wish to batch wire instructions and transmit these as a group to State Street Mutual Fund Services once or several times a day. FUNDS TRANSFER ADDENDUM (LOGO) [ ] Automated Clearing House (ACH) State Street receives an automated transmission or a magnetic tape from a Client for the initiation of payment (credit) or collection (debit) transactions through the ACH network. The transactions contained on each transmission or tape must be authenticated by the Client. Clients using ACH must select one or more of the following delivery options: [ ] Global Horizon Interchange Automated Clearing House Service Transactions are created on a microcomputer, assembled into batches and delivered to State Street via fully authenticated electronic transmissions in standard NACHA formats. [ ] Transmission from Client PC to State Street Mainframe with Telephone Callback [ ] Transmission from Client Mainframe to State Street Mainframe with Telephone Callback [ ] Transmission from DST Systems to State Street Mainframe with Encryption [ ] Magnetic Tape Delivered to State Street with Telephone Callback State Street is hereby instructed to accept funds transfer instructions only via the delivery methods and security procedures indicated. The selected delivery methods and security procedure(s) will be effective _______________________ for payment orders initiated by our organization. Key Contact Information Whom shall we contact to implement your selection(s)? CLIENT OPERATIONS CONTACT ALTERNATE CONTACT ------------------------------ --------------------------------- Name Name ------------------------------ --------------------------------- Address Address ------------------------------ --------------------------------- City/State/Zip Code City/State/Zip Code ------------------------------ --------------------------------- Telephone Number Telephone Number ------------------------------ --------------------------------- Facsimile Number Facsimile Number ------------------------------ SWIFT Number ------------------------------ Telex Number FUNDS TRANSFER ADDENDUM (LOGO) INSTRUCTION(S) TELEPHONE CONFIRMATION Fund LM Institutional Fund Advisors II, Inc. ----------------------------------------- Investment Adviser Xxxx Xxxxx Fund Adviser, Inc. ------------------------------ Authorized Initiators Please Type or Print Please provide a listing of Fund officers or other individuals are currently authorized to INITIATE wire transfer instructions to State Street: NAME TITLE (Specify whether position SPECIMEN SIGNATURE is with Fund or Investment Adviser) Xxxxx X. Xxxxxxxxx Vice President & Treasurer /s/ Xxxxx X. Xxxxxxxxx ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx Fund Manager /s/ Xxxxx X. Xxxxx ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx Fund Manager /s/ W. Xxxxx Xxxxxx ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- Authorized Verifiers Please Type or Print Please provide a listing of Fund officers of other individuals who will be CALLED BACK to verify the initiation of repetitive wires of $10 million or more and all non repetitive wire instructions: NAME CALLBACK PHONE NUMBER DOLLAR LIMITATION (IF ANY) Xxxxx X. Xxxxxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- TRANSFER AGENCY AND SERVICE AGREEMENT between LM INSTITUTIONAL FUND ADVISORS II, INC. and STATE STREET BANK AND TRUST COMPANY 1G - Domestic Corp/Series TABLE OF CONTENTS Page?
Appears in 1 contract
Samples: Custodian Agreement (Western Asset Premier Bond Fund)
Funds Transfer Service Global Horizon Interchange Funds Transfer. Service (FTS) is a State Street proprietary microcomputer-based wire initiation system. FTS enables Clients to electronically transmit authenticated Fedwire, CHIPS or internal book transfer instructions to State Street. This delivery mechanism is most appropriate for Clients with a low-to-medium number of transactions (505-75 per day), allowing Clients to enter, batch, and review wire transfer instructions on their PC prior to release to State StreetXxxxx Xxxxxx. [ ] Telephone Confirmation (Callback) Telephone confirmation will be used to verify all non-repetitive funds transfer instructions received via untested facsimile or phone. This procedure requires Clients to designate individuals as authorized initiators and authorized verifiers. State Street will verify that the instruction contains the signature of an authorized person and prior to execution, will contact someone other than the originator at the Client's location to authenticate the instruction. Selection of this alternative is appropriate for Clients who do not have the capability to use other security procedures. [ ] Repetitive Wires For situations where funds are transferred periodically (minimum of one instruction per calendar quarter) from an existing authorized account to the same payee (destination bank and account number) and only the date and currency amount are variable, a repetitive wire may be implemented. Repetitive wires will be subject to a mutually agreed upon limit. If the payment order exceeds the established limit, the instruction will be confirmed by telephone prior to execution. Telephone confirmation is used to establish this process. Repetitive wire instructions must be reconfirmed annually. This alternative is recommended whenever funds are frequently transferred between the same two accounts. [ ] Transfers Initiated by Facsimile The Client faxes wire transfer instructions directly to State Street Mutual Fund Services. Standard security procedure requires the use of a random number test key for all transfers. Every six months the Client receives test key logs from State Street. The test key contains alpha-numeric characters, which the Client puts on each document faxed to State Street. This procedure ensures all wire instructions received via fax are authorized by the Client. We provide this option for Clients who wish to batch wire instructions and transmit these as a group to State Street Mutual Fund Services once or several times a day. FUNDS TRANSFER ADDENDUM (LOGO) [ ] "Automated Clearing House (ACH) State Street receives an automated transmission or a magnetic tape from a Client for the initiation of payment (credit) or collection (debit) transactions through the ACH network. The transactions contained on each transmission or tape must be authenticated by the Client. Clients using ACH must select one or more of the following delivery options: [ ] Global Horizon Interchange Automated Clearing House Service Transactions are created on a microcomputer, assembled into batches and delivered to State Street via fully authenticated electronic transmissions in standard NACHA formats. [ ] Transmission from Client PC to State Street Mainframe with Telephone Callback FUNDS TRANSFER ADDENDUM [ ] Transmission from Client Mainframe to State Street Mainframe with Telephone Callback [ ] Transmission from DST Systems to State Street Mainframe with Encryption [ ] Magnetic Tape Delivered to State Street with Telephone Callback State Street is hereby instructed to accept funds transfer instructions only via the delivery methods and security procedures indicated. The selected delivery methods and security procedure(s) will be effective ________________ for payment orders initiated by our organization. Key Contact Information Whom shall we contact to implement your selection(s)? CLIENT OPERATIONS CONTACT ALTERNATE CONTACT ------------------------------ --------------------------------- ------------------------ ------------------------ Name Name ------------------------------ --------------------------------- ------------------------ ------------------------ Address Address ------------------------------ --------------------------------- ------------------------ ------------------------ City/State/Zip Code City/State/Zip Code ------------------------------ --------------------------------- ------------------------ ------------------------ Telephone Number Telephone Number ------------------------------ --------------------------------- ------------------------ ------------------------ Facsimile Number Facsimile Number ------------------------------ ------------------------ SWIFT Number ------------------------------ ------------------------ Telex Number FUNDS TRANSFER ADDENDUM (LOGO) INSTRUCTION(S) TELEPHONE CONFIRMATION Fund LM Institutional Fund Advisors II, Inc. ----------------------------------------- Investment Adviser Xxxx Xxxxx Fund Adviser, Inc. ------------------------------ Authorized Initiators Please Type or Print Please provide a listing of Fund officers or other individuals who are currently authorized to INITIATE wire transfer instructions to State Street: NAME TITLE (Specify whether position is SPECIMEN SIGNATURE is with Fund or Investment (Adviser) Xxxxx X. Xxxxxxxxx Vice President & Treasurer /s/ Xxxxx X. Xxxxxxxxx ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx Fund Manager /s/ Xxxxx X. Xxxxx ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx Fund Manager /s/ W. Xxxxx Xxxxxx ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- Authorized Verifiers Please Type or Print Please provide a listing of Fund officers of or other individuals who will be CALLED BACK to verify the initiation of repetitive wires of $10 million or more and all non non-repetitive wire instructions: NAME CALLBACK PHONE NUMBER DOLLAR LIMITATION (IF ANYif any) Xxxxx X. Xxxxxxxxx 000REMOTE ACCESS SERVICES ADDENDUM TO MASTER CUSTODIAN CONTRACT ADDENDUM to that certain Master Custodian Contract dated as of September 1, 2005 (the "Custodian Agreement") between each of the entities set forth on Appendix A thereto (collectively, the "Customer") and State Street Bank and Trust Company, including its subsidiaries and affiliates ("State Street"). State Street has developed and utilizes proprietary accounting and other systems in conjunction with the custodian services which State Street provides to the Customer. In this regard, State Street maintains certain information in databases under its control and ownership which it makes available to its customers (the "Remote Access Services"). The Services State Street agrees to provide the Customer, and its designated investment advisors, consultants or other third parties authorized by State Street ("Authorized Designees") with access to In-000-0000 N/Sightsm as described in Exhibit A ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- TRANSFER AGENCY AND SERVICE AGREEMENT between LM INSTITUTIONAL FUND ADVISORS IIor such other systems as may be offered from time to time (the "System") on a remote basis. Security Procedures The Customer agrees to comply, INCand to cause its Authorized Designees to comply, with remote access operating standards and procedures and with user identification or other password control requirements and other security procedures as may be issued from time to time by State Street for use of the System and access to the Remote Access Services. The Customer agrees to advise State Street immediately in the event that it learns or has reason to believe that any person to whom it has given access to the System or the Remote Access Services has violated or intends to violate the terms of this Addendum and STATE STREET BANK AND TRUST COMPANY 1G - Domestic Corp/Series TABLE OF CONTENTS Pagethe Customer will cooperate with State Street in seeking injunctive or other equitable relief. The Customer agrees to discontinue use of the System and Remote Access Services, if requested, for any security reasons cited by State Street.
Appears in 1 contract
Samples: Master Custodian Agreement (IXIS Advisor Funds Trust I)
Funds Transfer Service Global Horizon Interchange Funds Transfer. Service (FTS) is a State Street proprietary microcomputer-based wire initiation system. FTS enables Clients to electronically transmit authenticated Fedwire, CHIPS or internal book transfer instructions to State Street. This delivery mechanism is most appropriate for Clients with a low-to-medium number of transactions (505-75 per day), allowing Clients to enter, batch, and review wire transfer instructions on their PC prior to release to State Street. [ ] ]Telephone Confirmation (Callback) Telephone confirmation will be used to verify all non-repetitive funds transfer instructions received via untested facsimile or phone. This procedure requires Clients to designate individuals as authorized initiators and authorized verifiers. State Street will verify that the instruction contains the signature of an authorized person and prior to execution, will contact someone other than the originator at the Client's location to authenticate the instruction. Selection of this alternative is appropriate for Clients who do not have the capability to use other security procedures. [ ] ]Repetitive Wires For situations where funds are transferred periodically (minimum of one instruction per calendar quarter) from an existing authorized account to the same payee (destination bank and account number) and only the date and currency amount are variable, a repetitive wire may be implemented. Repetitive wires will be subject to a mutually agreed upon limit. If the payment order exceeds the established limit, the instruction will be confirmed by telephone prior to execution. Telephone confirmation is used to establish this process. Repetitive wire instructions must be reconfirmed annually. This alternative is recommended whenever funds are frequently transferred between the same two accounts. [ ] ]Transfers Initiated by Facsimile The Client faxes wire transfer instructions directly to State Street Mutual Fund Services. Standard security procedure requires the use of a random number test key for all transfers. Every six months the Client receives test key logs from State Street. The test key contains alpha-numeric characters, which the Client puts on each document faxed to State Street. This procedure ensures all wire instructions received via fax are authorized by the Client. We provide this option for Clients who wish to batch wire instructions and transmit these as a group to State Street Mutual Fund Services once or several times a day. [STATE STREET LOGO] FUNDS TRANSFER ADDENDUM (LOGO) [ ] ]Automated Clearing House (ACH) State Street receives an automated transmission or a magnetic tape from a Client for the initiation of payment (credit) or collection (debit) transactions through the ACH network. The transactions contained on each transmission or tape must be authenticated by the Client. Clients using ACH must select one or more of the following delivery options: [ ] ]Global Horizon Interchange Automated Clearing House Service Transactions are created on a microcomputer, assembled into batches and delivered to State Street via fully authenticated electronic transmissions in standard NACHA formats. [ ] ]Transmission from Client PC to State Street Mainframe with Telephone Callback [ ] ]Transmission from Client Mainframe to State Street Mainframe with Telephone Callback [ ] ]Transmission from DST Systems to State Street Mainframe with Encryption [ ] ]Magnetic Tape Delivered to State Street with Telephone Callback State Street is hereby instructed to accept funds transfer instructions only via the delivery methods and security procedures indicated. The selected delivery methods and security procedure(s) will be effective ___________________ for payment orders initiated by our organization. Key Contact Information Whom shall we contact to implement your selection(s)? CLIENT OPERATIONS CONTACT ALTERNATE CONTACT ------------------------------ --------------------------------- Client operations contact Alternate Contact ----------------------------------- ------------------------------------- Name Name ------------------------------ --------------------------------- ----------------------------------- ------------------------------------- Address Address ------------------------------ --------------------------------- ----------------------------------- ------------------------------------- City/State/Zip Code City/State/Zip Code ------------------------------ --------------------------------- Telephone Number Telephone Number ------------------------------ --------------------------------- Facsimile Number Facsimile Number ------------------------------ SWIFT Number ------------------------------ Telex Number FUNDS TRANSFER ADDENDUM (LOGO) INSTRUCTION(S) TELEPHONE CONFIRMATION Fund LM Institutional Fund Advisors II, Inc. ----------------------------------------- Investment Adviser Xxxx Xxxxx Fund Adviser, Inc. ------------------------------ Authorized Initiators Please Type or Print Please provide a listing of Fund officers or other individuals are currently authorized to INITIATE wire transfer instructions to State Street: NAME TITLE (Specify whether position SPECIMEN SIGNATURE is with Fund or Investment Adviser) Xxxxx X. Xxxxxxxxx Vice President & Treasurer /s/ Xxxxx X. Xxxxxxxxx ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx Fund Manager /s/ Xxxxx X. Xxxxx ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx Fund Manager /s/ W. Xxxxx Xxxxxx ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- Authorized Verifiers Please Type or Print Please provide a listing of Fund officers of other individuals who will be CALLED BACK to verify the initiation of repetitive wires of $10 million or more and all non repetitive wire instructions: NAME CALLBACK PHONE NUMBER DOLLAR LIMITATION (IF ANY) Xxxxx X. Xxxxxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- Xxxxx X. Xxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- W. Xxxxx Xxxxxx 000-000-0000 N/A ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- ---------------------- --------------------------------- ----------------------- TRANSFER AGENCY AND SERVICE AGREEMENT between LM INSTITUTIONAL FUND ADVISORS II, INC. and STATE STREET BANK AND TRUST COMPANY 1G - Domestic Corp/Series TABLE OF CONTENTS PageCode
Appears in 1 contract
Samples: Master Custodian Agreement (Cohen & Steers Income Realty Fund Inc)
