Exhibit (h)(1)(a)
AMENDMENT TO
MANAGEMENT AND ADMINISTRATION AGREEMENT
This Amendment is made as of June 27, 2001 between AMSOUTH FUNDS (the
"Fund"), an open-end investment management company registered under the
Investment Company Act of 1940 and ASO SERVICES COMPANY, INC. ("ASC"), an Ohio
corporation having its principal place of business at 0000 Xxxxxxx Xxxx, Xxxxx
0000, Xxxxxxxx, Xxxx 00000. The parties hereby amend the Management and
Administration Agreement (the "Agreement") between the Fund and ASC, dated as of
January 1, 2001, as set forth below.
WHEREAS, ASC, in its capacity as administrator for the Fund, may
collect, retain or have access to nonpublic personal financial information
relating to consumers or customers of the Fund (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 Fund; and
WHEREAS, the Fund and ASC desire to protect the confidentiality and
security of nonpublic personal financial information relating to consumers or
customers of the Fund.
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 Fund provided by or at the
direction of the Fund to ASC, or collected or retained by ASC to perform their
duties as administrator of the Fund shall be considered confidential
information. ASC shall not give, sell or in any way transfer such confidential
information to any person or entity, other than affiliates of ASC except at the
direction of the Fund or as required or permitted by law.
2. PROCEDURAL SAFEGUARDS. ASC 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 and customers of the Fund
3. FUND PRIVACY POLICY. The Fund represents to ASC 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 ASC 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.
AMSOUTH FUNDS
By:
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Title:
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ASO SERVICES COMPANY, INC.
By:
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Title:
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