Identity Theft Prevention Program. In connection with the regulations promulgated jointly by the Federal Trade Commission and several other federal agencies implementing Sections 114 and 315 of the Fair and Accurate Credit Transactions Act of 2003, as may be amended from time to time (the “Identity Theft Regulations”), DST has implemented an identity theft prevention program, a current copy of which is attached hereto as Exhibit 2 and incorporated herein (the “Identity Theft Prevention Program”).
Identity Theft Prevention Program. (a) The Trust delegates to Atlantic, and Atlantic hereby accepts, responsibility to perform certain services (the "IDENTITY THEFT PREVENTION SERVICES") in connection with the Trust's Identity Theft Prevention Program, (the "TRUST IDENTITY THEFT PREVENTION PROGRAM"), as further set out in the Trust Identity Theft Prevention Program. Atlantic agrees to cooperate with the CCO in the performance of the Identity Theft Prevention Services as set forth in the Trust Identity Theft Prevention Program.
(b) Atlantic represents and warrants that:
(i) Atlantic undertakes to perform all delegated responsibilities under the Trust Identity Theft Prevention Program; and
(ii) Atlantic has adopted and will maintain a written identity theft prevention program ("ATLANTIC IDENTITY THEFT POLICIES AND PROCEDURES") that includes policies and procedures that enable it to perform its responsibilities under this Agreement.
(c) The Trust represents and warrants that the Trust will promptly provide Atlantic any amendment(s) to the Trust Identity Theft Prevention Program, which will be subject to the terms of the Agreement, as amended hereby.
(d) Atlantic agrees to furnish the Trust with the following:
(i) prompt written notification of any transaction or combination of transactions that Atlantic believes, based on the Identity Theft Prevention Procedures, evidence money laundering or identity theft activities in connection with the Trust or any shareholder of the Trust;
(ii) prompt written notification of any customer(s) that Atlantic reasonably believes, based upon the Identity Theft Prevention Procedures, to be engaged in money laundering or identity theft activities, provided that the Trust shall not to communicate this information to the customer;
(iii) Any reports received by Atlantic from any government agency or applicable industry self-regulatory organization pertaining to Atlantic AML Policies and Procedures, the Trust AML Program, Atlantic Identity Theft Policies and Procedures, or the Trust Identity Theft Prevention Program;
(iv) prompt written notification of any action taken in response to identity theft activity as described in (i), (ii) or (iii); and
(v) certified annual and quarterly reports of its monitoring and customer identification activities on behalf of the Trust.
(e) The Trust directs Atlantic to, and Atlantic acknowledges that it shall (i) permit federal regulators access to such information and records maintained by Atlantic and relating to Atlantic's implemen...
Identity Theft Prevention Program. (a) Distributor will rely upon Dealer to establish a written Identity Theft Prevention Program to include policies and procedures that comply with Rule 681.2 adopted by the Federal Trade Commission pursuant to amendments to the Fair Credit Reporting Act (the “Identity Theft Rules”). Dealer acknowledges, represents, and warrants that it has adopted and implemented an Identity Theft Prevention Program that complies and will continue to comply with all aspects and requirements of the Identity Theft Rules, and all other applicable laws and regulations. Dealer agrees that with respect to each order for the purchase of shares placed by Dealer on behalf of its customers: (i) Dealer has obtained recent evidence satisfactory in nature to establish the identity of each customer and/or principal to the transaction and the beneficial owner(s) of shares so purchased; (ii) such evidence will be made available to Distributor, its agents or appropriate regulatory or law enforcement authorities, as requested; and (iii) Dealer will immediately notify the Distributor of suspected identity theft that involves a Fund. Upon request, Dealer shall promptly certify to having an Identity Theft Prevention Program that complies with and continues to comply with all aspects and requirements of the Identity Theft Rules and any other anti-identity theft laws or regulations.
(b) Dealer’s Identity Theft Prevention Program shall include, and the Distributor shall rely upon, Dealer’s policies and procedures to, among other things, (i) identify relevant patterns, practices or specific activities that indicate the possible existence of identity theft (“Red Flags”) for Fund accounts that Dealer maintains; (ii) detect Red Flags; (iii) respond appropriately to any Red Flags that are detected to prevent and mitigate identity theft; (iv) ensure that the Identity Theft Prevention Program is updated periodically to reflect changes in risks to customers and to the safety and soundness of Dealer from identity theft; and (v) maintain appropriate books and records regarding the implemetation of Dealer’s Identity Theft Prevention Program.
Identity Theft Prevention Program. In connection with the regulations promulgated jointly by the Federal Trade Commission and several other federal agencies implementing Sections 114 and 315 of the Fair and Accurate Credit Transactions Act of 2003, as may be amended from time to time (the “Identity Theft Regulations”), DST has implemented an identity theft prevention program, a current copy of which is attached hereto as Exhibit 2 and incorporated herein (the “Identity Theft Prevention Program”). The policies and procedures referred to in the Identity Theft Prevention Program are subject to change at any time in DST’s sole discretion, provided that the protections afforded thereby will not be diminished in comparison with those provided by DST to the Funds prior to the execution of this Agreement.
Identity Theft Prevention Program. The Transfer Agent shall implement policies and procedures and shall cause Boston Financial Data Services, Inc. (“BFDS”) or any successor to BFDS or any entity performing substantially similar services to implement policies and procedures to detect, prevent and mitigate identity theft in accordance with the Identity Theft Protection Program adopted by the Funds, as the same may be amended from time to time. Such policies and procedure shall include, inter alia, policies designed to detect, identify and respond to a pattern, practice, or specific activity that indicates the possible existence of identity theft (“Red Flags”).
Identity Theft Prevention Program. ALPS represents that its affiliate, ALPS Fund Services, Inc., has created and maintains an identity theft prevention program in compliance with the rules and regulations promulgated by the Federal Trade Commission, federal bank regulatory agencies and the National Credit Union Administration that have been issued in order to implement Section 114 of the Fair and Accurate Credit Transactions Act of 2003 (such rules and regulations are known as the “Red Flag Rules”). The Trust acknowledges that is has received a copy of ALPS Fund Services, Inc.’s Identity Theft Prevention Program (effective November 1, 2009) (the “Policy”). ALPS confirms that, as soon as reasonably practicable, it will provide relevant certifications and representations regarding the Policy as the Trust may reasonably request from time to time.
Identity Theft Prevention Program. If in providing services to the Covered Entity patients, Business Associate regularly extends, renews or continues credit to patients or regularly allows patients to defer payment for services including setting up payment plans in connection with covered accounts (as that term is defined at 16 C.F.R. 681.2(b)(3)), the Business Associate shall comply with the Federal Trade commission’s “Red Flag” Rules by developing and implementing a written identity theft prevention program designed to identify, detect, mitigate and respond to suspicious activities (red flags) that could indicate identity theft has occurred.
Identity Theft Prevention Program. The Transfer Agent has processes designed to detect, prevent and mitigate identity theft consistent with the Identity Theft Protection Program adopted by the Trust, as the same may be amended from time to time.
Identity Theft Prevention Program. UMBFS shall have implemented and will maintain a written identity theft prevention program to detect, prevent and mitigate identity theft in connection with accounts of Fund Shareholders, which such program will contain procedures for identifying and detecting “red flags” and provide for appropriate responses to any red flags that are detected to prevent and mitigate identity theft. UMBFS shall provide a copy of its written identity theft prevention program to the Trust or a representative of each Fund’s investment adviser upon their request.
Identity Theft Prevention Program. CMS shall implement policies and procedures and shall cause Boston Financial Data Services, Inc. (“BFDS”) or any successor to BFDS or any entity performing substantially similar services to implement policies and procedures to detect, prevent and mitigate identity theft in accordance with the Identity Theft Protection Program adopted by the Funds, as the same may be amended from time to time. Such policies and procedure shall include, inter alia, policies designed to detect, identify and respond to a pattern, practice, or specific activity that indicates the possible existence of identity theft (“Red Flags”).
