Investigation and Prevention. DST shall reasonably assist Fund in investigating of any such unauthorized access and shall use commercially reasonable efforts to: (A) cooperate with Fund in its efforts to comply with statutory notice or other legal obligations applicable to Fund or its clients arising out of unauthorized access and to seek injunctive or other equitable relief; (B) cooperate with Fund in litigation and investigations against third parties reasonably necessary to protect its proprietary rights; and (C) take reasonable actions necessary to mitigate loss from any such authorized access.
Investigation and Prevention. Transfer Agent shall reasonably assist Fund in investigating of any such unauthorized access and shall use commercially reasonable efforts to:
(A) cooperate with Fund in its efforts to comply with statutory notice or other legal obligations applicable to Fund or its clients arising out of unauthorized access and to seek injunctive or other equitable relief; (B) cooperate with Fund in litigation and investigations against third parties reasonably necessary to protect its proprietary rights; and (C) take reasonable actions necessary to mitigate loss from any such authorized access.
Investigation and Prevention. State Street shall reasonably assist Client in investigating of any such unauthorized access and shall use commercially reasonable efforts to: (A) cooperate with Client in its efforts to comply with statutory notice or other legal obligations applicable to Client or its clients arising out of unauthorized access and to seek injunctive or other equitable relief; (B) cooperate with Client in litigation and investigations against third parties reasonably necessary to protect its proprietary rights; and (C) take reasonable actions necessary to prevent mitigate against loss from any such authorized access.
Investigation and Prevention. DST shall reasonably assist Fund in investigating of any such unauthorized access and shall use commercially reasonable efforts to: (A) cooperate with Fund in its efforts to comply with statutory notice or other legal obligations applicable to Fund or its clients arising out of unauthorized access and to seek injunctive or other equitable relief; (B) cooperate with Fund in litigation and investigations against third parties reasonably necessary to protect its proprietary rights; and (C) take reasonable actions necessary to mitigate loss from any such authorized access.
1 The accounts, transactions, items and activity reviewed in each case are subject to certain standard exclusions as set forth in written procedures of DST, which have been made available to the Fund and which may be modified from time to time.
Investigation and Prevention. Transfer Agent shall reasonably assist Fund in investigating of any such unauthorized access and shall use commercially reasonable efforts to:
(A) cooperate with Fund in its efforts to comply with statutory notice or other legal obligations applicable to Fund or its clients arising out of unauthorized access and to seek injunctive or other equitable relief; (B) cooperate with Fund in litigation and investigations against third parties reasonably necessary to protect its proprietary rights; and (C) take reasonable actions necessary to mitigate loss from any such authorized access. Does the Vendor have access to Non-Public Information in the Form of PII? Enter Yes or No: Does the Vendor have access to Non-Public Information in the Form of BII? Yes Does the Vendor have Access to Non-Public Information in the Form of both PII and BII? Yes Points PII Only BII Only Both PII and BII 90-104 Acceptable (No Amendment Required*) Acceptable (No Amendment Required*) Acceptable (No Amendment Required*) 80-89 Questionable (Evaluate Amendment**) Acceptable (No Amendment Required***) Questionable (Evaluate Amendment**) 70-79 Not Acceptable (Amendment Recommended) Questionable (Evaluate Amendment**) Not Acceptable (Amendment Recommended) 60-69 Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) < 60 Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) Not Acceptable (Amendment Recommended) * No amendment is required unless provisions assigned 5 points are not predominantly covered in the agreement. Legal and Business Unit to review. ** If provisions assigned 3, 4 or 5 points are not predominantly covered in the agreement, consider an amendment. Legal and Business Unit to review. *** If provisions assigned a 4 or 5 are not covered in the agreement, consider an amendment. Legal and Business Unit to review. Total Points for Agreement: 91/104
A. Confidentiality/Privacy
1. Requirement to maintain confidentiality of confidential information of each party and its customers, shareholders, directors, officers, employees, agents/vendors, customers and other representatives Highly Recommended Yes 5 5/5 a) Broad definition of “Confidential Information” (e.g., all Information Provided by or on behalf of the foregoing parties (or at least all such information that is marked or should reasonably be known to be confidential), Customer Information (including PII (Personally Identifiable Information)) a...
Investigation and Prevention. Subject to the limitations of liability set forth in the Agreement, DST shall reasonably assist Client in investigating of any such unauthorized access and shall use commercially reasonable efforts to, in DST’s discretion, mitigate loss from any such unauthorized access. DST shall instruct its employees, agents, and in DST’s reasonable discretion, its subcontractors, if applicable, that they shall comply with the terms of this contract for security, access, and safety requirements for the protection of Client’s information assets and incorporate similar terms into their contract agreements with their third party providers. Type of Coverage: Workers’ Compensation* Limits: Statutory Description of Coverage: Covers medical and indemnity benefits for injury arising out of and in the course of employment to all employees. Carrier: Travelers Rating: A++, XV
Investigation and Prevention. Transfer Agent shall reasonably assist Fund in investigating of any such unauthorized access and shall use commercially reasonable efforts to:
(A) cooperate with Fund in its efforts to comply with statutory notice or other legal obligations applicable to Fund or its clients arising out of unauthorized access and to seek injunctive or other equitable relief; (B) cooperate with Fund in litigation and investigations against third parties reasonably necessary to protect its proprietary rights; and (C) take reasonable actions necessary to mitigate loss from any such authorized access.
[1 The accounts, transactions, items and activity reviewed in each case are subject to certain standard exclusions as set forth in written procedures of the Transfer Agent, which have been made available to the Fund and which may be modified from time to time.
Investigation and Prevention. State Street shall reasonably assist the Funds in investigating of any such unauthorized access and shall use commercially reasonable efforts to: (A) cooperate with the Funds in its efforts to comply with statutory notice or other legal obligations applicable to the Funds or its clients arising out of unauthorized access and to seek injunctive or other equitable relief; (B) cooperate with Client in litigation and investigations against third parties reasonably necessary to protect its proprietary rights; and (C) take reasonable actions necessary to prevent mitigate against loss from any such authorized access.
Investigation and Prevention. Transfer Agent shall reasonably assist Fund in investigating of any such unauthorized access and shall use commercially reasonable efforts to:
(A) cooperate with Fund in its efforts to comply with statutory notice or other legal obligations applicable to Fund or its clients arising out of unauthorized access and to seek injunctive or other equitable relief; (B) cooperate with Fund in litigation and investigations against third parties reasonably necessary to protect its proprietary rights; and (C) take reasonable actions necessary to mitigate loss from any such authorized access. August 23, 2018 Xxxxx X. Xxxxxxx, Esq. General Counsel Federated Investors, Inc. 0000 Xxxxxxx Xxxxxx Xxxxxxxxxx, Xxxxxxxxxxxx 00000 RE: Transfer Agency and Service Agreement among Federated Funds and State Street Dear Xx. Xxxxxxx, At your request, this letter is intended to clarify certain aspects of the Transfer Agency and Service Agreement dated as of January 31, 2017, by and between each of the Federated Funds set forth on Exhibit A of that Agreement (the “Funds”) and State Street Bank and Trust Company (“State Street”), as amended from time to time (the “Agreement”). As you may know, Section 15.1 of the Agreement allows State Street to subcontract, without the consent of the Funds, its performance under the Agreement to Boston Financial Data Services, Inc. (“Boston Financial”), provided, however, that State Street remains fully responsible to the Fund for the acts and omissions of Boston Financial as it is for its own acts and omissions under the Agreement. We understand that the recent changes in the ownership structure of Boston Financial may be a cause of concern to the Funds, wherein: (i) Boston Financial changed its corporate name to DST Asset Manager Solutions, Inc. (“DST AMS”) following the March 2017 acquisition by DST Systems, Inc. of the remaining ownership interest in Boston Financial and (ii) SS&C Technologies Holdings, Inc. (“SS&C”) acquired 100% of the ownership interest in DST Systems, Inc., the parent company of DST AMS (the “SS&C Purchase”), in April 0000. Xxxxx Xxxxxx confirms to the Funds that it will continue to delegate the services under the Agreement to DST AMS, which is now a subsidiary of SS&C, until the Agreement terminates by its terms or upon agreement by the parties thereto. Further, pursuant to Section 15.1 of the Agreement, and not-withstanding Section 15.2 of the Agreement, State Street will continue to be fully responsible to the Funds for the ...
Investigation and Prevention. See AOP for Investigation and Prevention policy and procedures.
