Exhibit 23(h)(9)
AMENDMENT TO
TRANSFER AGENCY AGREEMENT
This Amendment (the "Amendment") is made as of November 13, 2001,
between THE TUSCARORA INVESTMENT TRUST (the "Trust"), a Massachusetts business
trust having its principal place of business at 0000 Xxxxxxx Xxxx, Xxxxxxxx,
Xxxx 00000, and BISYS FUND SERVICES OHIO, INC. ("BISYS"), an Ohio corporation
having its principal place of business at 0000 Xxxxxxx Xxxx, Xxxxx 0000,
Xxxxxxxx, Xxxx 00000. The parties hereby amend the Transfer Agency Agreement
(the "Agreement") between the Trust and BISYS, dated as of August 23, 1999, as
set forth below.
WHEREAS, BISYS, in its capacity as transfer agent for the Trust may
collect, retain or have access to "nonpublic personal information" relating to
"consumers" and "customers" of the Trust, as those terms are defined under
Public Law 106-102, titled the Xxxxx-Xxxxx-Xxxxxx Act and Securities and
Exchange Commission Regulation S-P promulgated thereunder ("Regulation S-P"), to
perform services for, or functions on behalf of the Trust; and
WHEREAS, BISYS and the Trust desire to protect the confidentiality and
security of nonpublic personal information relating to consumers and customers
of the Trust.
NOW THEREFORE, in consideration of the mutual promises and covenants
herein set forth, the parties agree as follows:
1. CONFIDENTIALITY OF INFORMATION. Nonpublic personal information
relating to consumers and customers of the Trust provided by or at the direction
of the Trust to BISYS, or collected or retained by BISYS in the course of
performing its duties as transfer agent will be kept confidential. BISYS will
not use, disclose, sell or in any way transfer such nonpublic personal
information to any person or entity, except as necessary to perform its
obligations under the Agreement, at the direction of the Trust or otherwise as
required or permitted by law.
2. PROCEDURAL SAFEGUARDS. BISYS will 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 Trust.
BISYS will adhere to the privacy policy and procedures of the Trust and its
respective policies and procedures governing information security. The Trust
reserves the right to audit BISYS to ensure compliance with such policies and
procedures and applicable privacy laws.
3. REPORTING REQUIREMENTS. At the request of the Trust, BISYS will
provide the Board of Trustees of the Trust with periodic reports outlining its
policies and procedures governing information security and the implementation of
such policies and procedures. BISYS will promptly report to the Trust any
material changes to these policies and procedures before, or promptly after, the
adoption of such changes.
4. TRUST PRIVACY POLICY. The Trust represents to BISYS that it has
adopted a statement of its privacy policies and practices as required by
Regulation S-P and agrees to provide BISYS with a copy of that statement
annually.
5. GOVERNING LAW; CONFLICTS. This Amendment will be governed by, and
its provisions will be construed in accordance with, the laws of the State of
Ohio. In the event that any provision of this
Amendment conflicts or is inconsistent with any provision of the Agreement, this
Amendment will control with respect to matters related to compliance with
Regulation S-P.
6. EFFECTIVE DATE. The effective date of this amendment will be
November 13, 2001.
7. MISCELLANEOUS. This Amendment may be executed in one or more
counterparts, each of which will be deemed an original, but all of which
together will constitute one and the same instrument. Except as specifically set
forth herein, all other provisions of the Agreement will 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.
THE TUSCARORA INVESTMENT TRUST
By: /s/ XXXXXX X. XXXXXXX III
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Title: President
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BISYS FUND SERVICES OHIO, INC.
By: /s/ XXXXXXX X. XXXXX
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Title: President
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