Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding any party’s customers or consumers is disclosed to the other party in connection with this Agreement, the other party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement.
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding customers/shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that Broker/Dealer delivers to customers/shareholders will comply with Title V of the Xxxxx-Xxxxx-Xxxxxx Act and Regulations S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. This provision will survive the termination of this Agreement.
Regulation S-P. (1) In accordance with Regulation S-P of the Securities and Exchange Commission, "Nonpublic Personal Information" includes (1) all personally identifiable financial information; (2) any list, description, or other grouping of consumers (and publicly available information pertaining to them) that is derived using any personally identifiable financial information that is not publicly available information; and (3) any information derived therefrom.
Regulation S-P. BNY agrees to make reasonable efforts to adhere to the Fund’s policy regarding the use of Fund Shareholder and potential shareholder information as required by Regulation S-P. BNY shall be free to share information regarding Fund shareholders and potential Fund shareholders, on an as needed basis in order to fulfill its role as administrator, with other authorized agents of the Fund including service providers and brokers. BNY shall also be free to provided such information to its internal and external auditors, counsel and accountants, its regulators and examiners, and to any other person when advised by its counsel that it could be liable for a failure to provide such information.
Regulation S-P. You acknowledge that information regarding individuals that is provided to you by the Trust in connection with the performance of this Agreement constitutes “nonpublic personal information,” as defined under Regulation S-P adopted pursuant to the Gxxxx-Xxxxx-Xxxxxx Act. You agree that you will not disclose any such nonpublic personal information except as permitted by law and shall notify the Trust prior to making any such permitted disclosure.
Regulation S-P. BNYM agrees to make reasonable efforts to adhere to the Trust's policy regarding the use of shareholder and potential shareholder information as required by Regulation S-P. BNYM shall be free to share information regarding shareholders and potential shareholders of the Funds of the Trust, on an as needed basis in order to fulfill its role as administrator, with other authorized agents of the Trust including service providers and brokers. BNYM shall also be free to provide such information to its internal and external auditors, counsel and accountants, its regulators and examiners, and to any other person when advised by its counsel that it could be liable for failure to provide such information.
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding shareholders is disclosed to the either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that you deliver to Accessor Funds customers will comply with Title V of the Gramm-Leach-Blilely Act and Regulxxxxxx X-X, as each may be amended, and will notify customers that nonpublic personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. Very truly yours, Dated as of: ---------------- ALPS DISTRIBUTORS, INC. By: ------------------------------------ Name: ---------------------------------- Title: -------------------------------- ACCEPTED AND AGREED: ----------------------------------------------- Firm By: -------------------------------------------- Name: ------------------------------------------ Title: ----------------------------------------- Address: --------------------------------------- ----------------------------------------------- ----------------------------------------------- NSCC Dealer # Fax Number: --------------------------------- ---------------------------- NSCC Dealer Alpha Code Date: ------------------------ -------------------- NSCC Clearing # Mutual Fund Coordinator/ ------------------------------- Primary Contact: Phone Number: --------------------------------- --------------------------------------- Schedule A December 30, 2002 Investor Class or Class C shares of the following open-end investment companies of Accessor Funds, Inc. are available for distribution pursuant to this Agreement: Accessor Growth Fund Accessor Value Fund Accessor Small to Mid Cap Fund Accessor International Equity Fund Accessor Intermediate Fixed-Income Fund Accessor Short-Intermediate Fixed-Income Fund Accessor Mortgage Securities Fund Accessor High Yield Bond Fund Accessor U.S. Government Money Fund Accessor Income Allocation Fund Accessor Income and Growth Allocation Fund Accessor Balanced Allocation Fund Accessor Growth and Income Allocation Fund Accessor Growth Allocation Fund Accessor Aggressive Growth Allocation Fund SELLING AGREEMENT FEE SCHEDULE (as of December 30, 2002) NAME OF FUND ANNUAL SELLING AGENT COMPENSATION ================================================================================ Accessor Growth Fund Advisor Class 0....
Regulation S-P. In accordance with Regulation S-P, if non-public personal information regarding shareholders is disclosed to either party in connection with this Agreement, the party receiving such information will not disclose or use that information other than as necessary to carry out the purposes of this Agreement. Any privacy notice that you deliver to Xxxxxxxx Capital Liquid Assets Fund's customers will comply with the Xxxxx-Xxxxx-Xxxxxx Act and Regulation S-P, as each may be amended, and will notify customers that non-public personal information may be provided to financial service providers such as security broker-dealers or investment companies and as permitted by law. Very truly yours, Dated as of: ___________ ALPS DISTRIBUTORS, INC. By: ________________________________ Name: _____________________________ Title: ____________________________ ACCEPTED AND AGREED: _____________________________________ Firm By: ________________________________ Name: _____________________________ Title: ____________________________ Address: ___________________________ _____________________________________ ____________________________________ NSCC Dealer # ______________________ Fax Number: ____________________________ NSCC Dealer Alpha Code _____________ Date: __________________________________ NSCC Clearing # ____________________ Mutual Fund Coordinator/Primary Contact: Phone Number: ______________________ ________________________________________ SCHEDULE A SELLING AGREEMENT FEE SCHEDULE NAME OF FUND ANNUAL DEALER COMPENSATION ------------ -------------------------- ALPS Distributors, Inc. shall pay you a fee based on the average daily net assets throughout the quarter of [name of Fund]. Such fee shall be computed daily and paid quarterly. The determination of daily net assets shall be made at the close of each business day throughout the quarter and computed in the manner specified in the Fund's then-current Prospectus for the determination of the net asset value of shares of the Fund.
Regulation S-P. The Parties agree that, regardless of whether such regulations apply to the activities of either party, any nonpublic personal information, as defined in Section 248.3(t) of Regulation S-P, received from or on behalf of either party shall be treated by the Parties as subject to the limitations on re-disclosure and reuse set forth in Section 248.11 of such Regulation. In addition, the Parties acknowledge that they have adopted policies and procedures that address administrative, technical and physical safeguards that are reasonably designed to insure the security and confidentiality of any such nonpublic personal information received from or on behalf of the other party, protecting against any reasonably anticipated threats or unauthorized access to or use of such information. Each party will promptly notify the other party of any actual or reasonably suspected unauthorized access, use, or disclosure of nonpublic personal information provided by such party or any request for access to such information by a governmental or nongovernmental third-party. Each party will cooperate with the other in a reasonable manner in case of any actual or anticipated litigation or regulatory inquiry or action concerning the nonpublic personal information provided by such party. The disclosing party of any nonpublic personal information will have the right, during normal business hours upon reasonable advance notice, to inspect the receiving party’s policies and practices for preserving the security of nonpublic personal information disclosed pursuant this Agreement (referred to collectively as the receiving party’s “GLBA practices”). The receiving party will cooperate with the disclosing party in a reasonable manner in any inspection of the receiving party’s GLBA practices by any competent regulatory authority. All non-public information about each party’s GLBA practices is, subject to Section 5(g)(iii), Confidential Information of such party.
