Exhibit (h)(6)
AMENDMENT TO
TRANSFER AGENCY AGREEMENT
This Amendment is made as of May 21, 2001 between CITIZENS FUNDS (the
"Company"), a Massachusetts business trust and an open-end investment
management company registered under the Investment Company Act of 1940, and
BISYS FUND SERVICES Ohio, Inc. ("BISYS"), an Ohio corporation having its
principal place of business at 0000 Xxxxxxx Xxxx, Xxxxxxxx, Xxxx 00000. The
parties hereby amend the Transfer Agency Agreement (the "Agreement") between
the Company and BISYS, dated as of October 18, 2000, as set forth below.
WHEREAS, BISYS, in its capacity as transfer agent for the Company may
collect, retain or have access to nonpublic personal financial information
relating to consumers or customers of the Company (as those terms are defined
under Public Law 106-102, titled the Xxxxx-Xxxxx-Xxxxxx Act) to perform
services for, or functions on behalf of the Company; and
WHEREAS, BISYS and the Company desire to protect the confidentiality and
security of nonpublic personal financial information relating to consumers or
customers of the Company.
NOW THEREFORE, in consideration of the mutual premises and covenants
herein set forth, the parties agree as follows:
1. Confidentiality of Information. Nonpublic personal financial
information relating to consumers or customers of the Company provided by, or
at the direction of the Company to BISYS, or collected or retained by BISYS in
the course of performing its duties as transfer agent shall be considered
confidential information. BISYS shall not give, sell or in any way transfer
such confidential information to any person or entity, other than affiliates of
BISYS except at the direction of the Company or as required or permitted by
law.
2. Procedural Safeguards. BISYS shall maintain physical, electronic and
procedural safeguards reasonably designed to protect the security,
confidentiality and integrity of, and to prevent unauthorized access to or use
of records and information relating to consumers or customers of the Company.
3. Funds Privacy Policy. The Company represents to BISYS that it has
adopted a statement of its privacy policies and practices as required by
Securities and Exchange Commission Regulation S-P and agrees to provide BISYS
with a copy of that statement annually.
4. Governing Law. This Agreement shall be governed by, and provisions
shall be construed in accordance with, the laws of the State of Ohio.
5. Effective Date. The effective date of this amendment shall be July 1,
2001.
6. Miscellaneous. This Amendment may be executed in one or more
counterparts, each of which will be deemed an original, but all of which
together shall constitute one and the same instrument. Except as specifically
set forth herein, all other provisions of the Agreement shall remain in full
force and effect.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be
fully executed as of the day and year first written above.
CITIZENS FUNDS
By: Xxxxxx Xxxxxxxx
Title: Senior Vice President
BISYS FUND SERVICES OHIO, INC.
By: Xxxxxxx Xxxxx
Title: President
