AMENDMENT TO THE FURTHER AMENDED
AND RESTATED DISTRIBUTOR'S CONTRACT
This Amendment is made as of October 1, 2001 between XXXX XXXXXXXXX SERIES
TRUST (The "Trust"), a Massachusetts business trust, and XXXX XXXXXXXXX FUNDS
DISTRIBUTOR, INC. (the "Distributor"). The parties hereby further amend the
Further Amended and Restated Distributors Contract (the "Contract") between the
Trust and Distributor, dated as of October 1, 2001, as set forth below.
WHEREAS, Distributor, in its capacity as distributor for the Trust may
collect, retain or have access to nonpublic personal financial information
relating to consumers or customers of the Trust (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 Trust; and
WHEREAS, the Trust and Distributor desire to protect the confidentiality
and security of nonpublic personal financial information relating to present or
former shareholders of the Trust.
NOW THEREFORE, in consideration of the mutual premises and covenants herein
set forth, the parties agrees as follows:
1. CONFIDENTIALITY OF INFORMATION. Nonpublic personal financial
information relating to consumers or customers of the Trust provided by, or at
the direction of the Trust to Distributor, or collected or retained by
Distributor to perform its duties as distributor shall be considered
confidential information. Distributor shall not disclose or otherwise use
nonpublic financial information relating to present or former shareholders of
the Trust other than for the purposes for which that information was disclosed
to Distributor, including use under an exception in sections 248.14 or 248.15 of
Securities and Exchange Commission Regulation S-P in the ordinary course of
business to carry out those purposes or at the direction of the Trust.
2. PROCEDURAL SAFEGUARDS. Distributor 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 Trust.
3. TRUST PRIVACY POLICY. The Trust represents to Distributor that it has
adopted a statement of its privacy policies and practices as required by
Securities and Exchange Commission Regulation S-P and agrees to provide
Distributor with a copy of that statement annually.
4. GOVERNING LAW. This Contract 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
October 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 here, all other provisions of
the Contract shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have caused this Contract to be
fully executed as of the day and year first written above.
XXXX XXXXXXXXX SERIES TRUST
By:
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Title:
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XXXX XXXXXXXX FUNDS
DISTRIBUTOR, INC.
By:
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Title:
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