Pacific Funds Agreement Pursuant to Rule 17a-7 of the Investment Company Act of 1940
Exhibit (d)(8)(d)
Agreement Pursuant to Rule 17a-7 of
the Investment Company Act of 1940
the Investment Company Act of 1940
THIS AGREEMENT, dated as of _April 1, 2002, by and between Pacific Funds (the
“Trust”), Pacific Life Insurance Company (the “Adviser”), and MFS Investment Management
(the “Fund Manager”).
WHEREAS, the Adviser, the Trust, and the Fund Manager have entered into a fund management
agreement (the “Management Agreement”); and
WHEREAS, the Fund Manager manages one or more funds of the Trust (each a “Fund”); and
WHEREAS, at the end of each quarter the Fund Manager is required to prepare and deliver to the
Trust’s Board of Trustees a report of all purchase and sale transactions involving each Fund it
manages that were executed in reliance on the Trust’s 17a-7 Procedures, including the identity of
the counterparty to the transaction (the “Counterparty Information”); and
WHEREAS, in lieu of providing the Counterparty Information, the Trust’s 17a-7 Procedures allow
the Fund Manager to agree in writing, in a form approved by the Trust and Adviser, to maintain the
required Counterparty Information as a Fund record in accordance with Rule 17a-7(g) of the
Investment Company Act of 1940 (the “1940 Act”) and the terms of the Management Agreement;
NOW, THEREFORE, the Fund Manager agrees to maintain Counterparty Information required by the
Trust’s 17a-7 procedures as a Fund record in accordance with Rule 17a-7(g) of the 1940 Act and the
terms of the Management Agreement. The location of these records will be identified in Trust
documents as required by law and the Fund Manager agrees to notify the Trust of the location or any
change thereto. The current location of these records is:
000 Xxxxxxxx Xxxxxx, 00xx Xxxxx | ||||
Xxxxxx, XX 00000 | ||||
The Fund Manager further agrees to promptly provide the Counterparty Information to the Adviser,
the Trust Board, or to any regulatory body that has jurisdiction over the Trust, upon request.
Fund Manager shall bear the cost of producing and providing such Fund records on a timely basis.
This Agreement will automatically terminate upon termination or non-renewal of the Management
Agreement, except that Fund records must still be maintained in accordance with the Management
Agreement.
PACIFIC FUNDS | MFS INVESTMENT MANAGEMENT | |||||
By:
|
/s/ Xxxxxx X. Xxxxxx | By: | /s/ Xxxx X. Xxxxxx | |||
Name:
|
Xxxxxx X. Xxxxxx | Name: | Xxxx X. Xxxxxx | |||
Title:
|
Chairman of the Board and Trustee | Title: | President | |||
PACIFIC LIFE | PACIFIC LIFE | |||||
By:
|
/s/ Xxxxxx X. Xxxxxx | By: | /s/ Xxxxx X. Xxxxxxx | |||
Name:
|
Xxxxxx X. Xxxxxx | Name: | Xxxxx X. Xxxxxxx | |||
Title:
|
Chairman of the Board and CEO | Title: | President | |||