Exhibit (e)(ii) under Form N-1A
Exhibit 1 under Item 601/Reg. S-K
Amendment to
Distributor's Contract
between
Golden Oak(R) Family of Funds
and
Edgewood Services, Inc.
This Amendment to the Distributor's Contract (the "Agreements") between
Golden Oak(R) Family of Funds (the "Funds") and Edgewood Services, Inc.
("Distributor") is made and entered into as of the 1st day of October, 2003.
WHEREAS, the Funds have entered into an Agreement with the Distributor
under and pursuant to which the Distributor is the principal underwriter of the
shares of the Funds;
WHEREAS, the Securities and Exchange Commission and the United States
Treasury Department ("Treasury Department") have adopted a series of rules and
regulations arising out of the USA PATRIOT Act (together with such rules and
regulations, the "Applicable Law"), specifically requiring certain financial
institutions, including the Funds and the Distributor, to establish a written
anti-money laundering and customer identification program ("Program");
WHEREAS, the Funds and the Distributor have established a Program and wish
to amend the Agreements to reflect the existence of such Programs and confirm
the allocation of responsibility for the performance of certain required
functions;
NOW, THEREFORE, the parties intending to be legally bound agree and amend
each Agreement as follows:
1. The Funds and the Distributor each represent, warrant and certify that they
have established, and covenant that at all times during the existence of
each respective Agreement they will maintain, a Program in compliance with
Applicable Law.
2. The Funds represent and warrant that they have entered into an amendment to
the agreement with the transfer agent of the Funds, pursuant to which the
transfer agent has agreed to perform all activities, including the
establishment and verification of customer identities as required by
Applicable Law or its Program, with respect to all customers on whose
behalf Distributor maintains an account with the Funds.
3. Distributor covenants that it will enter into appropriate amendments to
selling or other agreements with financial institutions that establish and
maintain accounts with the Funds on behalf of their customers, pursuant to
which such financial institutions covenant to establish and maintain a
Program with respect to those customers in accordance with Applicable Law.
In all other respects, the Agreement first referenced above shall remain in
full force and effect.
WITNESS the due execution hereof as of the 1st day of October, 2003.
GOLDEN OAK(R) FAMILY OF FUNDS
By: /s/ Xxxxxx X. Xxxxxxx
Name: Xxxxxx Xxxxxxx
Title: Vice President
Edgewood Services, Inc.
By: /s/ Xxxxxxx X. Xxxxx, Xx.
Name: Xxxxxxx X. Xxxxx, Xx.
Title: Vice President
