Exhibit (e)(6)
Form of Privacy/Joint Marketing Addendum
To
Dealer's Agreement
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Joint Marketing/Privacy Addendum to
The One Group Services Company
DEALER'S AGREEMENT
Joint Marketing/Privacy Addendum ("Addendum") made as of the __ day of
____________, 2001, among _____________________("Dealer"), The One Group
Services Company ("TOGSC") and One Group Mutual Funds ("One Group") to a
Dealer's Agreement between Dealer and TOGSC dated _________________.
WHEREAS, One Group is a diversified, open-end management investment company
registered under the Investment Company Act of 1940;
WHEREAS, Dealer is registered as a broker-dealer with the Securities and
Exchange Commission and is a member in good standing of the National Association
of Securities Dealers;
WHEREAS, TOGSC, an affiliate of BISYS Fund Services, Inc. and the
distributor for One Group, is registered as a broker-dealer with the Securities
and Exchange Commission, and is a member in good standing of the National
Association of Securities Dealers; and
WHEREAS, certain of the shareholders of One Group also are customers of
Dealer and the customers of Dealer represent important potential purchasers of
shares of One Group; and
NOW THEREFORE, in consideration of the mutual premises and covenants herein
set forth, the parties agree as follows:
1. Services. Dealer shall provide to One Group and TOGSC, and One Group and
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TOGSC shall provide to Dealer, the services described in Schedule A
attached hereto.
2. Term. This Addendum shall become effective on the date first written above
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and shall continue for so long as the Dealer's Agreement between Dealer and
TOGSC remains in effect. This Addendum shall bind and inure to the benefit
of the successors and assigns of the parties. The obligation to maintain
confidentiality under paragraph 3 shall survive the termination of this
Addendum.
3. Confidentiality. To carry out the purposes of this Addendum, Dealer, One
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Group and TOGSC may provide to each other information, or access to
information, about their respective joint customers ("Customer
Information") including, but not limited to, nonpublic personal information
such as a customer's name, address, telephone number, account
relationships, account balances and account histories. All information,
including Customer Information, obtained pursuant to this Addendum by One
Group, TOGSC or Dealer shall be considered confidential information.
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Neither One Group, TOGSC nor Dealer shall disclose such confidential
information to any other person or entity or use such confidential
information other than to carry out the purposes of this Addendum,
including its use under sections 248.14 and 248.15 of Regulation S-P (17
CFR 248.1 - 248.30) in the ordinary course of carrying out the purposes of
the Dealer's Agreement.
Dealer, One Group and TOGSC shall:
a) Limit access to Customer Information which is obtained pursuant to this
Addendum to employees who have a need to know such Customer Information
to effect the purposes of this agreement;
b) Safeguard and maintain the confidentiality and security of Customer
Information which is obtained pursuant to this Addendum; and
c) Use Customer Information obtained pursuant to this Addendum only to
carry out the purposes for which the Customer Information was disclosed
and for no other purpose.
Neither One Group, TOGSC nor Dealer shall directly or through an affiliate,
disclose an account number or similar form of access number or access code for
an account for use in telemarketing, direct mail marketing, or marketing through
electronic mail, except as permitted in Section 248.12 of Regulation S-P.
4. Headings. Paragraph headings in this Addendum are included for convenience
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only and are not to be used to construe or interpret this Agreement.
5. Governing Law. This Addendum shall be governed by, and provisions shall be
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construed in accordance with, the laws of the State of Ohio.
6. Limitation of Responsibility. The names "One Group(R) Mutual Funds" and
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"Trustees of One Group Mutual Funds" refer respectively to the Trust created
and the Trustees, as trustees but not individually or personally, acting
from time to time under a Declaration of Trust dated May 23, 1985, as
amended and restated February 18, 1999 to which reference is hereby made and
a copy of which is on file at the office of the Secretary of the
Commonwealth of Massachusetts and elsewhere as required by law, and to any
and all amendments thereto so filed or hereafter filed. The obligations of
One Group Mutual Funds entered into in the name or on behalf thereof by any
of the Trustees, representatives or agents are made not individually, but in
such capacities, and are not binding upon any of the Trustees, shareholders
or representatives of the Trust personally, but bind only the assets of the
Trust, and all persons dealing with any series of shares of the Trust must
look solely to the assets of the Trust belonging to such series for the
enforcement of any claims against the Trust.
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IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be fully
executed as of the day and year first written above.
ONE GROUP MUTUAL FUNDS
By:______________________________
Title:___________________________
THE ONE GROUP SERVICES COMPANY
By:______________________________
Title:___________________________
[DEALER]
By:______________________________
Title:___________________________
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SCHEDULE A
TO THE JOINT MARKETING/PRIVACY ADDENDUM
AMONG
[Name of Broker]
ONE GROUP MUTUAL FUNDS
AND
THE ONE GROUP SERVICES COMPANY
SERVICES
Dealer, One Group and TOGSC shall provide one another the following services:
(1) Assist in the preparation and implementation of marketing plans;
(2) Assist in the preparation and distribution of sales and advertising
materials for One Group;
(3) Provide information, including nonpublic personal information, about the
customers of Dealer for the purpose of marketing the products and services
of One Group; and
(4) Render advice and answer inquires concerning the marketing of One Group
products and services.
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