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Document Preview Delegation Agreement for Retail Funds |
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Title: |
Delegation Agreement for Retail Funds |
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Entities: |
Td Waterhouse Investor Services; TD Waterhouse Family of Funds Inc. |
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Date: |
2003 |
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Size: |
7KB total |
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Price: |
$40 |
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ID: |
#179539 |
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Delegation Agreement For Retail Funds
[TD Waterhouse Letterhead]
September 19, 2002
TD Waterhouse Investor Services, Inc.
100 Wall Street
New York, NY 10005
Ladies and Gentlemen:
Each of the registered investment companies listed on Exhibit A attached hereto (each a "Fund") has adopted an Anti-Money Laundering Compliance Manual (the "Policy") pursuant to Title III of the USA PATRIOT Act (the "Act"). Each Funds anti-money laundering compliance officer maintains responsibility for the implementation of the Policy on behalf of such Fund. TD Waterhouse Investor Services, Inc. (the "Agent") has also adopted the Policy to satisfy the requirements of the Act that apply to the Agent, as well as any other applicable anti-money laundering and terrorist financing laws or regulations. [The Agent serves as the administrator for each Fund.]By executing this letter agreement, the Agent hereby confirms and agrees as follows:
1.
The Agent agrees to (i) assume responsibility for the implementation of each Funds Policy with respect to the services such Agent provides to such Fund; (ii) maintain the Policy or other appropriate anti-money laundering and anti-terrorism financing program ("Program"); and (iii) comply with all applicable laws and regulations designed to guard against money laundering and terrorist financing activities on behalf of itself and such Fund, with respect to the shares of such Fund and with respect to the processing of payments, transfers and redemption requests by shareholders of such Fund.
2.
The Agent represents that where it is responsible for introducing funds of potential investors ("Investors") into a Fund, the Agent will ensure that such funds are not invested into such Fund until the Investors have been properly identified and their details verified and the Agent has determined that they constitute permissible investors in accordance with the latest applicable anti-money laundering and terrorist financing regulations and guidelines and that it will take all reasonable steps to ensure that such funds do not come from any illicit activity and are permissible investments in accordance with such regulations and guidelines. In addition, when processing Investor payments, transfers and redemption requests, the Agent hereby represents that it will process such requests and take any actions, including the filing of any reports that may be required in accordance with the latest applicable an ti-money laundering and terrorist financing regulations and guidelines.
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