Investigation and Prevention. Transfer Agent shall reasonably assist Fund in investigating of any such unauthorized access and shall use commercially reasonable efforts to: (A) cooperate with Fund in its efforts to comply with statutory notice or other legal obligations applicable to Fund or its clients arising out of unauthorized access and to seek injunctive or other equitable relief; (B) cooperate with Fund in litigation and investigations against third parties reasonably necessary to protect its proprietary rights; and (C) take reasonable actions necessary to mitigate loss from any such authorized access. Does the Vendor have access to Non-Public Information in the Form of PII? Enter Yes or No: Does the Vendor have access to Non-Public Information in the Form of BII? Yes Does the Vendor have Access to Non-Public Information in the Form of both PII and BII? Yes Points PII Only BII Only Both PII and BII 90-104 Acceptable (No Amendment Required*) Acceptable (No Amendment Required*) Acceptable (No Amendment Required*) 80-89 Questionable (Evaluate Amendment**) Acceptable (No Amendment Required***) Questionable (Evaluate Amendment**) 70-79 Not Acceptable (Amendment Recommended) Questionable (Evaluate Amendment**) Not Acceptable (Amendment Recommended) 60-69 Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) < 60 Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) * No amendment is required unless provisions assigned 5 points are not predominantly covered in the agreement. Legal and Business Unit to review. ** If provisions assigned 3, 4 or 5 points are not predominantly covered in the agreement, consider an amendment. Legal and Business Unit to review. *** If provisions assigned a 4 or 5 are not covered in the agreement, consider an amendment. Legal and Business Unit to review. Total Points for Agreement: 91/104 A. Confidentiality/Privacy 1. Requirement to maintain confidentiality of confidential information of each party and its customers, shareholders, directors, officers, employees, agents/vendors, customers and other representatives Highly Recommended Yes 5 5/5 a) Broad definition of “Confidential Information” (e.g., all Information Provided by or on behalf of the foregoing parties (or at least all such information that is marked or should reasonably be known to be confidential), Customer Information (including PII (Personally Identifiable Information)) and BII (Business Intellectual Information)) Yes
Appears in 3 contracts
Samples: Transfer Agency and Service Agreement (Federated Core Trust/Pa), Transfer Agency and Service Agreement (Federated Total Return Series Inc), Transfer Agency and Service Agreement (Federated International Series Inc)
Investigation and Prevention. Transfer Agent shall reasonably assist Fund in investigating of any such unauthorized access and shall use commercially reasonable efforts to:
(A) cooperate with Fund in its efforts to comply with statutory notice or other legal obligations applicable to Fund or its clients arising out of unauthorized access and to seek injunctive or other equitable relief; (B) cooperate with Fund in litigation and investigations against third parties reasonably necessary to protect its proprietary rights; and (C) take reasonable actions necessary to mitigate loss from any such authorized access. Does the Vendor have access to Non-Public Information in the Form of PII? Enter Yes or No: Does the Vendor have access to Non-Public Information in the Form of BII? Yes Does the Vendor have Access to Non-Public Information in the Form of both PII and BII? Yes Points PII Only BII Only Both PII and BII 90-104 Acceptable (No Amendment Required*) Acceptable (No Amendment Required*) Acceptable (No Amendment Required*) 80-89 Questionable (Evaluate Amendment**) Acceptable (No Amendment Required***) Questionable (Evaluate Amendment**) 70-79 Not Acceptable (Amendment Recommended) Questionable (Evaluate Amendment**) Not Acceptable (Amendment Recommended) 60-69 Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) < 60 Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) * No amendment is required unless provisions assigned 5 points are not predominantly covered in the agreement. Legal and Business Unit to review. ** If provisions assigned 3, 4 or 5 points are not predominantly covered in the agreement, consider an amendment. Legal and Business Unit to review. *** If provisions assigned a 4 or 5 are not covered in the agreement, consider an amendment. Legal and Business Unit to review. Total Points for Agreement: 91/104
A. Confidentiality/Privacy
1. Requirement to maintain confidentiality of confidential information of each party and its customers, shareholders, directors, officers, employees, agents/vendors, customers and other representatives Highly Recommended Yes 5 5/5 a) Broad definition of “Confidential Information” (e.g., all Information Provided by or on behalf of the foregoing parties (or at least all such information that is marked or should reasonably be known to be confidential), Customer Information (including PII (Personally Identifiable Information)) and BII (Business Intellectual Information)) Yes
Appears in 2 contracts
Samples: Transfer Agency and Service Agreement (Federated Fixed Income Securities Inc), Transfer Agency and Service Agreement (Federated MDT Equity Trust)
