First Amendment to the Transfer Agent Interactive Client Services Agreement Dated October 13, 2003, by and among Westcore Trust and ALPS Mutual Funds Services, Inc.
Item (h)(2)(vii) Transfer Agent Amendment
First
Amendment
to the Transfer
Agent Interactive Client Services Agreement
Dated October 13, 2003,
by and among
Westcore Trust
and
ALPS Mutual Funds Services, Inc.
THIS AMENDMENT is made as of October 1, 2004, by and between WESTCORE TRUST, a Massachusetts business trust (the "Trust") and ALPS MUTUAL FUNDS SERVICES Inc., a corporation organized under the laws of the State of Colorado, ("ALPS").
WHEREAS, the Trust and ALPS have entered into a Transfer Agent Interactive Client Services Agreement (the "Agreement") dated October 13, 2003.
WHEREAS, the Trust and ALPS wish to modify the Agreement.
NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows:
1. Transfer Agent e-Statement Program. The Trust has requested, and ALPS will provide a Transfer Agent e-Statement Program ("e-Statement(s)") as one of the Interactive Client Services ("ICS") provided pursuant to the terms of the Agreement between the Trust and ALPS. Through e-Statements, Shareholders will have the option to discontinue printed and mailed shareholder statements in favor of electronic ones.
2. Transfer Agent Web-Documents Program. The Trust has requested, and ALPS will provide, a Transfer Agent Web-Documents Program ("TA Web-D") as one of the ICS provided pursuant to the terms of the Agreement between the Trust and ALPS. Through TA Web-D, Shareholders will have the option to discontinue printed and mailed Regulatory Documents in favor of electronic ones.
3. Definitions. For purposes of this Amendment, the following additional definitions shall apply (in addition to all other defined terms in the Agreement):
"Shareholders" shall mean the record owner or authorized agent of the owner of shares of a Fund.
"Regulatory Documents" shall mean the prospectus, annual report, semi-annual report and any other document required under applicable federal securities law to be delivered by the Trust to Shareholders.
4. Responsibilities. In connection with its performance of providing e-Statements, ALPS shall:
(i) Modfiy TAWeb Shareholder site to accommodate e-Statement and TA Web-D services;
(ii) Initiate the design, processing and maintenance of shareholder e-Statements and TA Web-D services;
(iii) Provide technical support for the e-Statement and TA Web-D programs including: testing; quality control review; generation; and storage of e-Statements and TA Web-D.
5. Trusts Responsibilities. In connection with ALPS providing the
Trust with
e-Statements, the Trust shall:
a. Review, approve and provide reasonable notification of modifications thereto: disclosures provided to Shareholders via the site, including Trust Counsel review of disclosures,; e-mail correspondence sent to Shareholders; and e-Statements and Regulatory Documents sent to Shareholders;
b. Periodically review the e-mail list for completeness and accuracy;
6. Fees.
There is a one-time start-up fee of $6,500. There is a $.20 fee for each image page per quarter, with a quarterly minimum of $1,000.
7. Miscellaneous. Other than as amended hereby, all terms and conditions of the Agreement are unchanged and remain in full force and effect. This Amendment shall be deemed to be an amendment to the Agreement and shall be governed by the laws of the State of Colorado.
IN WITNESS WHEREOF, this Amendment has been executed by a duly authorized representative of each of the parties hereto as of the date of the Amendment first set forth above.
By:
Name:
Title:
ALPS MUTUAL FUNDS SERVICES, Inc.
By:
Name:
Title:
