Exhibit (h)(3)(a)
AMENDMENT TO
SUB-ADMINISTRATION AGREEMENT
This Agreement is made as of June 27, 2001 between the ASO Services
Company, Inc.("ASC"), a Delaware corporation having its principal place of
business at 0000 Xxxxxxx Xxxx, Xxxxxxxx, XX 00000, and AmSouth Bank, N.A.
("Sub-Administrator"), an Alabama corporation having its principal place of
business at 0000 Xxxxx Xxxxxx, Xxxxx, Xxxxxxxxxx, Xxxxxxx, 00000. The parties
hereby amend the Administration Agreement (the "Agreement") between ASC and
AmSouth Bank, dated as of January 1, 2001, as set forth below.
WHEREAS, ASC, in its capacity as administrator for the AMSOUTH FUNDS
(the "Fund"), and the Sub-Administrator, 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, ASC and the Sub-Administrator 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 or ASC to the Sub-Administrator, or collected or
retained by the Sub-Administrator to perform their duties as sub-administrator
of the Fund shall be considered confidential information. The Sub-Administrator
shall not give, sell or in any way transfer such confidential information to any
person or entity, other than affiliates of ASC or the Sub-Administrator except
at the direction of the Fund or ASC or as required or permitted by law.
2. PROCEDURAL SAFEGUARDS. The Sub-Administrator 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. ASC represents to AmSouth Bank, N.A. that the
Fund has adopted a statement of its privacy policies and practices as required
by Securities and Exchange Commission Regulation S-P and ASC agrees to provide
AmSouth Bank, N.A. 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 BANK, N.A.
By:
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Title:
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ASO SERVICES COMPANY, INC.
By:
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Title:
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