Dear Financial Services Firm (“you” or “Intermediary”), As principal underwriter of the DWS Funds, we (or a predecessor firm) or our affiliate have entered into a selling group or other agreement or agreements (the “Agreement”) with you to permit you,...
Exhibit (8)(y)
DWS Xxxxxxx Distributors, Inc.
000 Xxxxx Xxxxxxxxx Xxxxx
Xxxxxxx, XX 00000-0000
(000) 000-0000
000 Xxxxx Xxxxxxxxx Xxxxx
Xxxxxxx, XX 00000-0000
(000) 000-0000
Dear Financial Services Firm (“you” or “Intermediary”),
As principal underwriter of the DWS Funds, we (or a predecessor firm) or our affiliate have
entered into a selling group or other agreement or agreements (the “Agreement”) with you to
permit you, as applicable, to sell, service, or facilitate trading in shares of the DWS Funds
(collectively, the “Shares”).
This amendment to the Agreement is entered into as of the date indicated in the signature
block below, with an effective date of October 16, 2007, or such earlier date as of which you
begin providing the Shareholder information described below, and includes the following
provisions:
1. Agreement to Provide Information. Intermediary agrees to provide the Fund, upon
written request, the taxpayer identification number (“TIN”), the Individual Taxpayer
Identification Number (“ITIN”), or other government-issued identifier (“GII”), if
known, of any or all Shareholder(s) of the account and the amount, date, name or other
identifier of any investment professional(s) associated with the Shareholder(s) or
account (if known), and transaction type (purchase, redemption, transfer, or exchange)
of every purchase, redemption, transfer, or exchange of Shares held through each
account maintained by the Intermediary during the period covered by the request.
2. Period Covered by Request. Requests must set forth a specific period, not to exceed
90 days from the date of the request, for which transaction information is sought. The
Fund may request transaction information older than 90 days from the date of the
request as it deems necessary to investigate compliance with policies established by
the Fund for the purpose of eliminating or reducing any dilution of the value of the
outstanding shares issued by the Fund.
3. Form and Timing of Response.
(a) Intermediary agrees to provide, promptly upon request of the Fund or its
designee, the requested information specified in paragraph 1 above. If requested
by the Fund or its designee, Intermediary agrees to use best efforts to
determine promptly whether any specific person about whom it has received the
identification and transaction information specified in paragraph 1 is itself a
financial intermediary (“indirect intermediary”) and, upon further request of
the Fund or its designee, promptly either (i) provide
(or arrange to have provided) the information set forth in paragraph 1 for those
shareholders who hold an account with an indirect intermediary or (ii) restrict or prohibit
the indirect intermediary from purchasing, in nominee name on behalf of other persons,
securities issued by the Fund.
(b) Responses required by this paragraph must be communicated in writing and in
a format mutually agreed upon by the parties.
(c) To the extent practicable, the format for any transaction information
provided to the Fund should be consistent with the NSCC Standardized Data Reporting
Format
4. Limitations on Use of Information. The Fund agrees not to use the information received for
marketing or any other similar purpose without the prior written consent of the Intermediary.
5. Agreement to Restrict Trading. Intermediary agrees to execute written instructions from the Fund
to restrict or prohibit further purchases or exchanges of Shares by a Shareholder that has been
identified by the Fund as having engaged in transactions of the Fund’s Shares (directly or
indirectly through the Intermediary’s account) that violate policies established or utilized by the
Fund for the purpose of eliminating or reducing any dilution of the value of the outstanding Shares
issued by the Fund.
6. Form of Instructions. Instructions to restrict or prohibit trading must include the TIN, ITIN,
or GII, if known, and the specific restriction(s) to be executed. If the TIN, ITIN, or GII is not
known, the instructions must include an equivalent identifying number of the Shareholder(s) or
account(s) or other agreed upon information to which the instruction relates.
7. Timing of Response. Intermediary agrees to execute instructions from the Fund to restrict or
prohibit trading as soon as reasonably practicable, but not later than five business days after
receipt of the instructions by the Intermediary.
8. Confirmation by Intermediary. Intermediary must provide written confirmation to the Fund that
instructions from the Fund to restrict or prohibit trading have been executed. Intermediary agrees
to provide confirmation as soon as reasonably practicable, but not later than ten business days
after the instructions have been executed.
9. Definitions. For purposes of this amendment:
9.1 The term “Fund” includes the fund’s principal underwriter and transfer
agent. The term does not include any “excepted funds” as defined in SEC
Rule 22c-2(b) under the Investment Company Act of 1940. *
9.2 The term “Shares” means the interests of Shareholders corresponding to
the redeemable securities of record issued by the Fund under the Investment
Company Act of 1940 that are held by the Intermediary.
9.3 Except as otherwise provided in this paragraph 9.3, the term
“Shareholder” means the beneficial owner of Shares, whether the Shares are
held directly or by the Intermediary in nominee name. If you are a retirement
plan recordkeeper, the term “Shareholder” means each retirement plan
participant notwithstanding that the retirement plan may be deemed to be
the beneficial owner of Shares. If you are an insurance company, the term
“Shareholder” means the holder of interests in a variable annuity or variable
life insurance contract issued by the Intermediary.
9.4 The term “written” includes electronic writings and
facsimile transmissions.
9.5 The term “Intermediary” shall mean a “financial institution”
as defined in SEC Rule 22c-2.
9.6 The term “purchase” does not include the automatic reinvestment of
dividends.
9.7 The term “promptly” as used in paragraph 3(a) shall mean as soon as practicable
but in no event later than ten business days from the Intermediary’s receipt
of the request for information from the Fund or its designee.
DWS XXXXXXX DISTRIBUTORS, INC. |
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By: | /s/ Xxxxxxx Xxxxxxx | |||
Name: | Xxxxxxx Xxxxxxx | |||
Title: | Chief Executive Officer |
FIRM: Annuity Investors Life Insurance Company |
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By: | /s/ Xxxx X. Xxxxxx | |||
Name: | Xxxx X. Xxxxxx | |||
Title: | Senior Vice President & General Counsel |
Date: March 29, 2007
* | As defined in SEC Rule 22c-2(b), the term “excepted fund” means any: (1) money market fund; (2) fund that issues securities that are listed on a national exchange; and (3) fund that affirmatively permits short-term trading of its securities, if its prospectus clearly and prominently discloses that the fund permits short-term trading of its securities and that such trading may result in additional costs for the fund. |
CONTACT INFORMATION
Please provide the requested contact information for the following principal contact persons in
the indicated functional areas at your firm in connection with Rule 22c-2 and the transmission of
shareholder level information in connection therewith:
COMPLIANCE |
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Name:
|
Xxxx X. Xxxxxx, Esq. | |
Mailing Address:
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Annuity Investors Life Insurance Company X.X. Xxx 0000 |
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Xxxxxxxxxx, XX 00000-0000 | ||
Telephone:
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000-000-0000 | |
Email:
|
xxxxxxx@xxxxx.xxx | |
LEGAL |
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Name:
|
Xxxx X. Xxxxxx, SVP & General Counsel | |
Mailing Address:
|
Annuity Investors Life Insurance Company X.X. Xxx 0000 Xxxxxxxxxx, XX 00000-0000 |
|
Telephone:
|
000-000-0000 | |
Email:
|
xxxxxxx@xxxxx.xxx | |
OPERATIONS |
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Name:
|
Xxx Xxxxx | |
Mailing Address:
|
Annuity Investors Life Insurance Company X.X. Xxx 0000 Xxxxxxxxxx, XX 00000-0000 |
|
Telephone:
|
000-000-0000 | |
Email:
|
xxxxxx@xxxxx.xxx |
SERVICE PROVIDER: To the extent you are using a third party service provider to assist with the
data transmission process, please provide the following information:
Firm Name:
Principal Contact Name:
Mailing Address:
Telephone:
Email: