EX-4 6 exhibit24b38.htm EXHIBIT 24(B)(3.8) exhibit24b38.htm - Generated by SEC Publisher for SEC Filing

Exhibit 24(b)(3.8):  Amendment No. 6, effective as of July 1, 2017, to the Intercompany Agreement between  Voya Investment Management LLC and Voya Retirement Insurance and Annuity Company

 

AMENDMENT NO. 6 TO THE INTERCOMPANY AGREEMENT

                                                                             

This Amendment No. 6, entered into on June 29, 2017 and effective as of July 1, 2017, amends the Intercompany Agreement, dated as of December 22, 2010, as amended (the “Agreement”), by and between Voya Investment Management LLC (“VIM”) and Voya Retirement Insurance and Annuity Company (“VRIAC”).

 

WITNESSETH

 

            WHEREAS, VIM conducts an asset management business through various companies that provides investment advice to and perform administrative services for certain U.S. registered investment companies (“Funds”), including Voya Investments, LLC (“VIL”), an investment adviser for certain Funds; and

 

            WHEREAS, VRIAC is an insurance company which offers a variety of insurance products, including variable annuities and which also provides administrative services to various tax-advantaged plans and programs established under Section 401(a), 403(b), 457 or 408 of the Internal Revenue Code (“Code”), certain non-qualified deferred compensation arrangements, and to custodial accounts established under Code Sections 403(b)(7) or 408 (collectively “non-insurance customers”); and

 

WHEREAS, VIM pays and/or causes its subsidiaries to pay to VRIAC the amounts derived from applying the annual rates listed in Amended and Restated Schedule A against the average net assets invested in the funds by VRIAC non-insurance customers during the prior calendar month; and

 

WHEREAS, Schedule A is reviewed at least once each calendar quarter and may be modified at any time by mutual written consent; and

 

WHEREAS, the parties desire to amend and restate Schedule A.

 

NOW, THEREFORE, the parties agree as follows:

 

1.               Schedule A to the Agreement is deleted in its entirety and is replaced with the attached Amended and Restated Schedule A

 

2.               Capitalized terms used in this Agreement and not otherwise defined shall have the meanings ascribed to them in the Agreement.

 

3.               The Amendment may be executed in several counterparts, each of which shall be an original, but all of which together will constitute one and the same instrument.

 

4.               In all other respects, the Agreement is hereby confirmed and remains in full force and effect.

 

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IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 6 to be executed as of the day and year first above written.

 

 

VOYA INVESTMENT MANAGEMENT      VOYA RETIREMENT INSURANCE AND

 LLC                                                                ANNUITY COMPANY     

 

By:  /s/ Michael Bell                                           By:  /s/ Elizabeth Schroeder

 

Name: Michael Bell                                           Name:  Elizabeth Schroeder

 

Title: CFO                                                          Title:  Vice President

 

 

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Amended Schedule A

This Schedule is effective as of July 1, 2017.

As described in Section 1 VRIAC shall be paid at the rates set forth immediately below.  In the case of funds of funds, payments will apply to the shares of the fund of funds held directly at the rate specified and will also apply to shares of underlying funds held indirectly through the fund of funds at the rates specified for those underlying funds calculated in the same manner as if the underlying funds were held directly. No payments will be made with respect to assets in Class P2 Shares, Class R6 Shares or Class Z Shares of the funds.

 

Payments listed in Schedule A shall not be made for assets contained in the following retirement plans:

• Voya Insurance and Annuity Company "Equifund" Retirement Plan

• Voya Financial Savings Plan & ESOP

• The 401(k) Plan for Voya Retirement Insurance and Annuity Company Agents

• Voya Investment Management LLC 401(k) Profit Sharing Plan

 

Fund Type

Fund

Rate

3rd Party SA

VY Clarion Global Real Estate Portfolio

X.XXX

3rd Party SA

VY Goldman Sachs Bond Portfolio

X.XXX

3rd Party SA

Voya CBRE Global Infrastructure Fund

X.XXX

3rd Party SA

Voya CBRE Long/Short Fund

X.XXX

3rd Party SA

Voya Emerging Markets Equity Dividend Fund

X.XXX

3rd Party SA

Voya Global Equity Dividend Fund

X.XXX

3rd Party SA

Voya Global Real Estate Fund

X.XXX

3rd Party SA

Voya Multi-Manager International Factors Fund

X.XXX

3rd Party SA

Voya International Real Estate Fund

X.XXX

3rd Party SA

Voya Multi-Manager Emerging Markets Equity Fund

X.XXX

3rd Party SA

Voya Multi-Manager International Equity Fund

X.XXX

3rd Party SA

Voya Multi-Manager Mid Cap Value Fund

X.XXX

3rd Party SA

Voya Multi-Manager International Small Cap Fund

X.XXX

3rd Party SA

Voya Real Estate Fund

X.XXX

3rd Party SA

Voya Russia Fund

X.XXX

Fund of Funds

Voya Global Multi-Asset Fund

X.XXX

Fund of Funds

Voya Diversified International Fund

X.XXX

Fund of Funds

Voya Global Perspectives Fund

X.XXX

Fund of Funds

Voya Global Perspectives Portfolio

X.XXX

Fund of Funds

Voya Global Target Payment Fund

X.XXX

Fund of Funds

Voya Index Solution Portfolios

X.XXX

Fund of Funds

Voya Retirement Portfolios

X.XXX

Fund of Funds

Voya Target Retirement Funds

X.XXX

Fund of Funds

Voya Solution Portfolios

X.XXX

Fund of Funds

Voya Strategic Allocation Portfolios

X.XXX

Pooled Inv Vehicle

Voya Emerging Markets Corporate Debt Fund

X.XXX

Pooled Inv Vehicle

Voya Emerging Markets Hard Currency Debt Fund

X.XXX

Pooled Inv Vehicle

Voya Emerging Markets Local Currency Debt Fund

X.XXX

Pooled Inv Vehicle

Voya Securitized Credit Fund

X.XXX

VIM Equity/Balanced

Voya Australia Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Balanced Portfolio

X.XXX

VIM Equity/Balanced

Voya Corporate Leaders 100 Fund

X.XXX

VIM Equity/Balanced

Voya Corporate Leaders Trust Fund Series B

X.XXX

VIM Equity/Balanced

Voya Emerging Markets Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Euro STOXX 50 Index Portfolio

X.XXX

VIM Equity/Balanced

Voya FTSE 100 Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Global Corporate Leaders 100 Fund

X.XXX

VIM Equity/Balanced

Voya Global Equity Fund

X.XXX

VIM Equity/Balanced

Voya Global Equity Portfolio

X.XXX

VIM Equity/Balanced

Voya Global High Dividend Low Volatility Fund

X.XXX

VIM Equity/Balanced

Voya Growth and Income Portfolio

X.XXX

VIM Equity/Balanced

Voya Hang Seng Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Index Plus LargeCap Portfolio

X.XXX

         

 

VIM Equity/Balanced

Voya Index Plus MidCap Portfolio

X.XXX

VIM Equity/Balanced

Voya Index Plus SmallCap Portfolio

X.XXX

VIM Equity/Balanced

Voya International Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Japan TOPIX Index® Portfolio

X.XXX

VIM Equity/Balanced

Voya Large-Cap Growth Fund

X.XXX

VIM Equity/Balanced

Voya Large Cap Growth Portfolio

X.XXX

VIM Equity/Balanced

Voya Large Cap Value Fund

X.XXX

VIM Equity/Balanced

Voya Large Cap Value Portfolio

X.XXX

VIM Equity/Balanced

Voya Mid Cap Research Enhanced Index Fund

X.XXX

VIM Equity/Balanced

Voya MidCap Opportunities Fund

X.XXX

VIM Equity/Balanced

Voya MidCap Opportunities Portfolio

X.XXX

VIM Equity/Balanced

Voya Russell™ Large Cap Growth Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Russell™ Large Cap Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Russell™ Large Cap Value Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Russell™ Mid Cap Growth Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Russell™ Mid Cap Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Russell™  Small Cap Index Portfolio

X.XXX

VIM Equity/Balanced

Voya Small Company Fund

X.XXX

VIM Equity/Balanced

Voya Small Company Portfolio

X.XXX

VIM Equity/Balanced

Voya SmallCap Opportunities Fund

X.XXX

VIM Equity/Balanced

Voya SmallCap Opportunities Portfolio

X.XXX

VIM Equity/Balanced

Voya SMID Cap Growth Fund

X.XXX

VIM Equity/Balanced

Voya U.S. High Dividend Low Volatility Fund

X.XXX

VIM Equity/Balanced

Voya U.S. Stock Index Portfolio

X.XXX

VIM Fixed

Voya Diversified Emerging Markets Debt Fund

X.XXX

VIM Fixed

Voya Floating Rate Fund

X.XXX

VIM Fixed

Voya Global Bond Fund

X.XXX

VIM Fixed

Voya Global Bond Portfolio

X.XXX

VIM Fixed

Voya GNMA Income Fund

X.XXX

VIM Fixed

Voya High Yield Bond Fund

X.XXX

VIM Fixed

Voya High Yield Portfolio

X.XXX

VIM Fixed

Voya Intermediate Bond Fund

X.XXX

VIM Fixed

Voya Intermediate Bond Portfolio

X.XXX

VIM Fixed

Voya Investment Grade Credit Fund

X.XXX

VIM Fixed

Voya Limited Maturity Bond Portfolio

X.XXX

VIM Fixed

Voya Government Liquid Assets Portfolio

X.XXX

VIM Fixed

Voya Government Money Market Fund

X.XXX

VIM Fixed

Voya Government Money Market Portfolio

X.XXX

VIM Fixed

Voya Senior Income Fund

X.XXX

VIM Fixed

Voya Short Term Bond Fund

X.XXX

VIM Fixed

Voya Strategic Income Opportunities Fund

X.XXX

VIM Fixed

Voya U.S. Bond Index Portfolio

X.XXX

VIT Portfolios

Voya Multi-Manager Large Cap Core Portfolio

X.XXX

VIT Portfolios

VY® BlackRock Inflation Protected Bond Portfolio

X.XXX

VIT Portfolios

VY® Clarion Real Estate Portfolio

X.XXX

VIT Portfolios

VY® FMR Diversified Mid Cap Portfolio

X.XXX

VIT Portfolios

VY® Franklin Income Portfolio

X.XXX

VIT Portfolios

VY® Invesco Growth and Income Portfolio

X.XXX

VIT Portfolios

VY® JPMorgan Emerging Markets Equity Portfolio

X.XXX

VIT Portfolios

VY® JPMorgan Small Cap Core Equity Portfolio

X.XXX

VIT Portfolios

VY® Morgan Stanley Global Franchise Portfolio

X.XXX

VIT Portfolios

VY® T. Rowe Price Capital Appreciation Portfolio

X.XXX

VIT Portfolios

VY® T. Rowe Price Equity Income Portfolio

X.XXX

VIT Portfolios

VY® T. Rowe Price International Stock Portfolio

X.XXX

VIT Portfolios

VY® Templeton Global Growth Portfolio

X.XXX

VPI Portfolios

VY® American Century Small-Mid Cap Value Portfolio

X.XXX

VPI Portfolios

VY® Baron Growth Portfolio

X.XXX

VPI Portfolios

VY® Columbia Contrarian Core Portfolio

X.XXX

VPI Portfolios

VY® Columbia Small Cap Value II Portfolio

X.XXX

VPI Portfolios

VY® Invesco Comstock Portfolio

X.XXX

VPI Portfolios

VY® Invesco Equity and Income Portfolio

X.XXX

VPI Portfolios

VY® JPMorgan Mid Cap Value Portfolio

X.XXX

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VPI Portfolios

VY® Oppenheimer Global Portfolio

X.XXX

VPI Portfolios

VY® Pioneer High Yield Portfolio

X.XXX

VPI Portfolios

VY® T. Rowe Price Diversified Mid Cap Growth Portfolio

X.XXX

VPI Portfolios

VY® T. Rowe Price Growth Equity Portfolio

X.XXX

VPI Portfolios

VY® Templeton Foreign Equity Portfolio

X.XXX

     
     

For the fund of funds listed above, VIM will pay the amount stated in this Schedule A.  VIM will not pay any amounts on assets in the underlying funds in these fund of funds. 

 

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