Exhibit (d)(xv)
Amendment to
Investment Advisory Contract
between
Xxxxxxxx Funds, Inc.
and
M&I Investment Management Corp.
This Amendment to the Investment Advisory Contract ("Agreement")
between Xxxxxxxx Funds, Inc. ("Funds") and M&I Investment Management Corp.
("Service Provider") is made and entered into as of the 15th day of June,
2001.
WHEREAS, the Funds have entered into the Agreement with the Service
Provider;
WHEREAS, the Securities and Exchange Commission has adopted
Regulation S-P at 17 CFR Part 248 to protect the privacy of individuals who
obtain a financial product or service for personal, family or household use;
WHEREAS, Regulation S-P permits financial institutions, such as the
Funds, to disclose "nonpublic personal information" ("NPI") of its
"customers" and "consumers" (as those terms are therein defined, to
affiliated and nonaffiliated third parties of the Fund for the limited
purposes of processing and servicing transactions (17 CFR ss. 248.14); for
specified law enforcement and miscellaneous purposes (17 CFR ss. 248.15); and
to service providers or in connection with joint marketing arrangements (17
CFR ss. 248.13);
NOW, THEREFORE, the parties intending to be legally bound agree as
follows:
0 The Fund and the Service Provider hereby acknowledge that the Fund
may disclose shareholder NPI to the Service Provider as agent of the Fund
and solely in furtherance of fulfilling the Service Provider's contractual
obligations under the Agreement in the ordinary course of business to
support the Fund and its shareholders.
1 The Service Provider hereby agrees to be bound to use and redisclose
such NPI only for the limited purpose set forth in the third WHEREAS clause
above, that is:
A. To process transactions and
service customer relationships;
B. For certain specified law
enforcement and miscellaneous legally permitted purposes; and
C. As a fund service provider or in
connection with joint marketing arrangements solely at the
direction and discretion of the Fund, each in accordance with
the limited exceptions set forth in 17 CFR xx.xx. 248.13, 248.14
and 248.15, respectively.
2 The Service Provider further represents and warrants that, in
accordance with 17 CFR ss. 248.30, it has implemented safeguards by adopting
policies and procedures reasonably designed to:
A. Insure the security and confidentiality of records and
NPI of Fund customers,
B. Protect against any anticipated threats or hazards to the
security or integrity of Fund customer records and NPI, and
C. Protect against unauthorized access to or use of such
Fund customer records or NPI that could result in substantial
harm or inconvenience to any Fund customer.
4. The Service Provider is obligated to maintain beyond the
termination date of the Agreement the confidentiality of any NPI it
receives from the Fund in connection with the Agreement or any joint
marketing arrangement, and hereby agrees that this Amendment shall survive
such termination.
WITNESS the due execution hereof this 15th day of June, 2001.
Xxxxxxxx Funds, Inc.
By: /s/ Xxxxxx X. Xxxxxxx
---------------------------
Name: Xxxxxx X. Xxxxxxx
Title: Secretary
M&I Investment Management Corp.
By: /s/ Xxxxx X. Xxxxxx
---------------------------
Name: Xxxxx X. Xxxxxx
Title: President
