AMENDMENT TO TRANSFER AGENCY SERVICES AGREEMENT
AMENDMENT TO TRANSFER AGENCY SERVICES AGREEMENT
AMENDMENT, dated as of June 13, 2019 (the “Amendment”), between GLOBAL X MANAGEMENT COMPANY LLC (“GXMC”) and XXXXX BROTHERS XXXXXXXX & CO. (“BBH” or the “Transfer Agent”).
WHEREAS, pursuant to a Transfer Agency Services Agreement between GXMC and BBH, dated November 7, 2008, as amended (the “Agreement”), BBH has been appointed to provide transfer agency services in accordance with the terms and conditions set forth in the Agreement; and
WHEREAS, Global X Funds (the “Trust”) is an open-end management investment company consisting of the series (each a “Fund” and collectively, the “Funds”) set forth in Schedule A attached to the Agreement and as revised herein as Appendix A; and
WHEREAS, GXMC serves as investment advisor and administrator to the Trust, and in such capacity has been authorized to engage third parties to provide certain services to the Trust and the Funds; and
WHEREAS, GMXC and the BBH desire to amend the Agreement as hereinafter set forth;
ACCORDINGLY, in consideration of the mutual agreements herein contained, GMXC and BBH hereby agree as follows:
I. Amendments to the Agreement
Section 11 of the Agreement is hereby amended to include the provision set forth below. Other sections of the Agreement remain unchanged:
Cybersecurity. BBH agrees to maintain a comprehensive information security program ("CISP") in compliance with Section 500.02 of the New York State Department of Financial Services Cybersecurity Requirements for Financial Services Companies which is reasonably designed (a) to protect Client’s data that is in BBH’s possession from unauthorized access by third parties and (b) to prevent the introduction of any computer code or instructions that may disrupt, damage, or interfere with GXMC’s use of BBH's respective computer and/or telecommunications facilities (e.g., malicious code or viruses), or that may allow for access bypassing any security features, and to periodically review and reasonably update the CISP in response to identified cybersecurity threats. Without limiting the foregoing, on an annual basis BBH shall conduct penetration testing of selected BBH networks and systems in accordance with the CISP, and BBH employees shall receive training on BBH’s data security policies and procedures and then be required to attest to their understanding of such policies and procedures.
II. Miscellaneous.
A. This Amendment may be executed and delivered in counterparts (through facsimile transmission or otherwise in writing), each such counterpart shall be deemed an original, and all such counterparts, together, shall constitute a single agreement.
B. This Amendment, together with the Agreement, constitutes the entire agreement of the parties with respect to its subject matter and supersedes all oral communications and prior writings with respect thereto. Upon execution and delivery of this Amendment, the Agreement shall be modified and amended in accordance with the terms herein and shall continue in full force and effect.
C. This Amendment shall be governed by and construed in accordance with the laws of the State of New York without reference to choice of law doctrine.
D. The headings used in this Amendment are for convenience of reference only and are not to affect the construction of or to be taken into consideration in interpreting this Amendment. All capitalized terms used herein which are not defined herein shall have the meanings set forth in the Agreement.
IN WITNESS WHEREOF, the parties have executed this Amendment as of the date first above written.
XXXXX BROTHERS XXXXXXXX & CO. By: /s/ Xxxxx X. McNinch Name: Xxxxx X. McNinch Title: Managing Director | GLOBAL X MANAGEMENT COMPANY LLC By: /s/ Xxxx X. Xxxxxxxxx Name: Xxxx X. Xxxxxxxxx Title: General Counsel |
APPENDIX A
TO
BETWEEN
GLOBAL X MANAGEMENT COMPANY, LLC
and
XXXXX BROTHERS XXXXXXXX & CO.
Dated as of 6/13/2019
The following is a list of Funds/Portfolios for which BBH shall serve under a Transfer Agency Services Agreement dated as of 11/07/2008 "the Agreement":
Global X Adaptive U.S. Factor ETF |
Global X Advanced Materials ETF |
Global X Future Analytics Tech ETF |
Global X Augmented & Virtual Reality ETF |
Global X Autonomous & Electric Vehicles ETF |
Global X S&P 500® Catholic Values ETF |
Global X S&P 500 Covered Call ETF |
Global X S&P 500® Quality Dividend ETF |
Global X Cement ETF |
Global X Central America Index ETF |
Global X Central and Northern Europe ETF |
Global X MSCI China Consumer Discretionary ETF |
Global X MSCI China Energy ETF |
Global X MSCI China Financials ETF |
Global X MSCI China Industrials ETF |
Global X MSCI China Materials ETF |
Global X China Mid Cap ETF |
Global X Cloud Computing ETF |
Global X Conscious Companies ETF |
Global X Copper Miners ETF |
Global X Czech Republic Index ETF |
Global X Cybersecurity ETF |
Global X DAX Germany ETF |
Global X E-commerce ETF |
Global X Eastern Europe ETF |
Global X Education ETF |
Global X Emerging Africa ETF |
Global X Fertilizers/Potash ETF |
Global X FinTech ETF |
Global X Founder-Run Companies ETF |
Global X FTSE Bangladesh Index ETF |
Global X FTSE Frontier Markets ETF |
Global X FTSE Morocco 20 Index ETF |
Global X FTSE Nordic Region ETF |
Global X MSCI Portugal ETF |
Global X FTSE Railroads ETF |
Global X FTSE Sri Lanka Index ETF |
Global X FTSE Toll Roads & Ports ETF |
Global X FTSE Ukraine Index ETF |
Global X Genomics & Biotechnology ETF |
Global X Gold Explorers ETF |
Global X Guru® Index ETF |
Global X Health & Wellness Thematic ETF |
Global X Hungary Index ETF |
Global X Internet of Things ETF |
Global X | JPMorgan Efficiente Index ETF |
Global X | JPMorgan US Sector Rotator Index ETF |
Global X Kazakhstan Index ETF |
Global X Kuwait ETF |
Global X Land ETF |
Global X Lithium & Battery Tech ETF |
Global X Longevity Thematic ETF |
Global X Luxembourg ETF |
Global X Marijuana ETF |
Global X Millennials Thematic ETF |
Global X MLP & Energy Infrastructure ETF |
Global X MLP ETF |
Global X MLP Natural Gas ETF |
Global X MSCI Argentina ETF |
Global X MSCI China Consumer Staples ETF |
Global X MSCI China Real Estate ETF |
Global X MSCI China Health Care ETF |
Global X MSCI China Utilities ETF |
Global X MSCI China Information Technology ETF |
Global X MSCI China Large-Cap 50 ETF |
Global X MSCI Colombia ETF |
Global X MSCI Greece ETF |
Global X MSCI Nigeria ETF |
Global X MSCI Norway ETF |
Global X MSCI Pakistan ETF |
Global X MSCI SuperDividend® EAFE ETF |
Global X NASDAQ 100 Covered Call ETF |
Global X MSCI China Communication Services ETF |
Global X MSCI Next Emerging & Frontier ETF |
Global X Risk Parity ETF |
Global X Robotics & Artificial Intelligence ETF |
Global X Xxxxxxx 2000 Covered Call ETF |
Global X Scientific Beta Asia ex-Japan ETF |
Global X Scientific Beta Developed Markets ex-US ETF |
Global X Scientific Beta Emerging Markets ETF |
Global X Scientific Beta Europe ETF |
Global X Scientific Beta Japan ETF |
Global X Scientific Beta US ETF |
Global X Silver Miners ETF |
Global X Slovakia Index ETF |
Global X Social Media ETF |
Global X FTSE Southeast Asia ETF |
Global X Southern Europe ETF |
Global X Sub-Saharan Africa Index ETF |
Global X SuperDividend® Alternatives ETF |
Global X MSCI SuperDividend® Emerging Markets ETF |
Global X SuperDividend® ETF |
Global X SuperDividend® REIT ETF |
Global X SuperDividend® US ETF |
Global X SuperIncome™ Preferred ETF |
Global X Uranium ETF |
Global X TargetIncomeTM 5 ETF |
Global X TargetIncomeTM Plus 2 ETF |
Global X Thematic Growth ETF |
Global X U.S. Infrastructure Development ETF |
Global X U.S. Preferred ETF |
Global X Video Games & Esports ETF |
Global X YieldCo & Renewable Energy Income ETF |
(Signature page follows.)
IN WITNESS WHEREOF, each of the parties hereto has caused this to be executed in its name
and on behalf of each such Fund/Portfolio.
GLOBAL X MANAGEMENT COMPANY, LLC
BY: /s/ Xxxx X. Xxxxxxxxx
NAME: Xxxx X. Xxxxxxxxx
TITLE: General Counsel
