EX-24 6 ex24b814amercent3amdssa.htm EXHIBIT 24(B)(8.14) AMERICAN CENTURY SSA 3RD AMEND ex24b814amercent3amdssa.htm - Generated by SEC Publisher for SEC Filing
Exhibit 24(b)(8.14)
AMENDMENT NO. 3 TO SELLING AND SERVICES AGREEMENT
 
 
THIS AMENDMENT NO. 3 TO SELLING AND SERVICES AGREEMENT (“Amendment”)
dated this 1st day of April, 2007, is by and among ING FINANCIAL ADVISERS, LLC (formerly known
as Aetna Investment Services, Inc.) and ING LIFE INSURANCE AND ANNUITY COMPANY
(formerly known as Aetna Life Insurance and Annuity Company) (“ILIAC”) (collectively the “ING”),
AMERICAN CENTURY INVESTMENT SERVICES, INC. (“Distributor”) and AMERICAN
CENTURY SERVICES, LLC (formerly known as American Century Services Corporation) (“Fund
Agent”). Capitalized terms not otherwise defined herein shall have the meaning ascribed to them in the
Agreement (defined below).
 
WHEREAS, ING, Distributor and Fund Agent are parties to a certain Selling and Services
Agreement dated July 1, 2000, as amended November 7, 2003 and October 1, 2004 (the “Agreement”),
pursuant to which shares of the Funds are made available to serve as underlying investment media for
various sponsors of qualified and nonqualified employee benefit plans (the “Plans”), to provide
recordkeeping and related administrative services on behalf of such Plans;
 
WHEREAS, the parties desire to expand the number of classes of Funds available under the
Agreement, revise the reimbursement terms for such Funds as set forth herein, and make other changes to
the Agreement as set forth herein;
 
WHEREAS, the parties to this Amendment now desire to modify the Agreement as provided herein.
 
NOW, THEREFORE, in consideration of the mutual promises set forth herein, the parties hereto
agree as follows:
 
1. Servicing Fees and 12b-1 Fees. The following information is hereby added at the end of
Section 5 and Section 6 of the Agreement.
 
Effective October 1, 2007, the above referenced address is changed to the following:
 
ING Financial Advisors, LLC
Attn: Central Valuation Unit
One Orange Way
Windsor, CT 06095-4774
 
2. Miscellaneous. In Section 15(b) Notices of the Agreement, the reference to “AISI/ALIAC” and
address information is deleted and replaced with following:
 
To ING:
 
Effective November 2, 2007, the above referenced information is changed to the
following:
 
Michael Eldredge
ING
One Orange Way, B3N
Windsor, CT 06095-4774

 

 

3. Miscellaneous. Section 15(h) of the Agreement is hereby deleted and replaced with the
following:  
 
(h) Anti-Money Laundering Provision. Each of the parties to this Agreement will establish
  and maintain programs, policies and procedures as required by federal, state or local
  law to detect and prevent money laundering. Each party shall cooperate with the others
  to the extent required by law to facilitate implementation of each other’s anti-money
  laundering (AML) program, which may include annual AML compliance
  certifications, periodic AML due diligence reviews and/or other requests deemed
  necessary to ensure compliance with the AML regulations.
 
5. Restrictions on “Excessive Trading.” The following section is hereby added to Section 15,
Miscellaneous, as subsection (i).

 

(i) Restrictions on “Excessive Trading.” The Company has adopted its own excessive
trading policy, a copy of which is attached as Exhibit C (“Market Timing Policy”).
The Company does not monitor trading in fund shares on behalf of, or in accordance
with disclosed policies of, any fund groups; however, the Company monitors individual
Participant and contract owner trading in accordance with its Market Timing Policy.
The Company will use its best efforts, and shall reasonably cooperate with the
Distributor and the Funds, to enforce both its Market Timing Policy and stated policies
in a Fund’s currently effective Prospectus or Statement of Additional Information
regarding transactions in Fund shares, including those related to market timing and
excessive trading. The Company will execute any instructions from the Distributor or
the Funds to restrict or prohibit further purchases or exchanges of Fund shares by an
individual participant or contract owner who has been identified by the Funds as
having engaged in transactions in Fund shares that violate market timing policies
established by the Funds. The parties shall use their best efforts, and shall reasonably
cooperate with each other to prevent future market timing and frequent trading.
 
6. Fees Payable to the Company. Schedule B is hereby deleted in its entirety and is
replaced by the attached Schedule B.
 
7. Ratification and Confirmation of Agreement. In the event of a conflict between the terms of
this Amendment and the Agreement, it is the intention of the parties that the terms of this
Amendment shall control and the Agreement shall be interpreted on that basis. To the extent the
provisions of the Agreement have not been amended by this Amendment, the parties hereby
confirm and ratify the Agreement.
 
8. Counterparts. This Amendment may be executed in two or more counterparts, each of which
shall be an original and all of which together shall constitute one instrument.
 
9. Full Force and Effect. Except as expressly supplemented, amended or consented to hereby, all
of the representations, warranties, terms, covenants and conditions of the Agreement shall remain
unamended and shall continue to be in full force and effect.
 
 
 
 
2

 

 

IN WITNESS WHEREOF, the undersigned have executed this Amendment No. 3 as of the date first
above written.

 

ING FINANCIAL ADVISERS, LLC AMERICAN CENTURY INVESTMENT
    SERVICES, INC.
 
By: /s/ David A. Kelsey By: /s/ Cindy A. Johnson
Name: David A. Kelsey Name: Cindy A. Johnson
Title: V.P. B D Operations Title: Vice President
 
ING LIFE INSURANCE AND AMERICAN CENTURY SERVICES, LLC
ANNUITY COMPANY    
 
By: /s/ Michael C. Eldredge By: /s/ Otis H. Cowan
Name: Michael C. Eldredge Name: Otis H. Cowan
Title: Vice President Title: Vice President

 

3

 

 

SCHEDULE B
 
FUNDS AVAILABLE AND FEES PAYABLE TO THE COMPANY
 
Servicing Fees          
Distributor agrees to pay the Company a servicing fee as provided in the following table.  
 
Fund Name Share Class CUSIP   Symbol Administrative
          Services Fee Rate
          (Basis Points)
 
American Century Balanced Advisor 025083 71 8   TWBAX XX
American Century Balanced Institutional 025083 73 4   ABINX XX
American Century Balanced Investor 025083 74 2   TWBIX XX
American Century Capital Growth A 025083 16 3   ACCGX XX
American Century Capital Growth Institutional 02508 H 30 3 APLIX XX
American Century Capital Growth Investor 02508 H 20 4 ACLIX XX
American Century Capital Growth R 02508 H 40 2 APWRX XX
American Century Capital Preservation Investor 025081 80 3   CPFXX XX
American Century Capital Value Advisor 025083 42 9   ACCVX XX
American Century Capital Value Institutional 025083 41 1   ACPIX XX
American Century Capital Value Investor 025083 39 5   ACTIX XX
American Century Core Plus A 024932543   ACCQX XX
American Century Core Plus Institutional 024932485   ACCUX XX
American Century Core Plus Investor 024932493   ACCNX XX
American Century Core Plus R 024932519   ACCPX XX
American Century Disciplined Growth Advisor 02507 M 6 42 ADCVX XX
American Century Disciplined Growth Institutional 02507 M667 ADCIX XX
American Century Disciplined Growth R 02507 M 65 9 ADRRX XX
American Century Disciplined Growth Investor 0250 7M 67 5 ADSIX XX
American Century Diversified Bond A 024932 84 0   CDBAX XX
American Century Diversified Bond Advisor 024932 50 1   ADFAX XX
American Century Diversified Bond Institutional 024932 60 0   ACBPX XX
American Century Diversified Bond Investor 024932 40 2   ADFIX XX
American Century Diversified Bond R 024932 71 7   ADVRX XX
American Century Emerging Markets Advisor 025086 85 1   AEMMX XX
American Century Emerging Markets Institutional 025086 87 7   AMKIX XX
American Century Emerging Markets Investor 025086 88 5   TWMIX XX
American Century Equity Growth Advisor 02507 M 70 9 BEQAX XX
American Century Equity Growth Institutional 02507 M808 AMEIX XX
American Century Equity Growth Investor 02507 M 60 0 BEQGX XX
American Century Equity Growth R 02507 M 76 6 AEYRX XX
American Century Equity Income Advisor 025076 40 7   TWEAX XX
 
4

 

 

Fund Name Share Class CUSIP   Symbol Administrative
          Services Fee Rate
          (Basis Points)
 
American Century Equity Income Institutional 025076 20 9   ACIIX XX
American Century Equity Income Investor 025076 10 0   TWEIX XX
American Century Equity Income R 025076 67 0   AEURX XX
American Century Equity Index Institutional 025076829   ACQIX XX
American Century Equity Index Investor 025076811   ACIVX XX
American Century Focused Growth Investor 02508 H 10 5 AFSIX XX
American Century Fundamental Equity A 025083 13 0   AFDAX XX
American Century Fundamental Equity Institutional 02508 H 70 9 AFEIX XX
American Century Fundamental Equity Investor 02508 H 60 0 AFDIX XX
American Century Fundamental Equity R 02508H 80 8 AFDRX XX
American Century Ginnie Mae Advisor 025081 83 7   BGNAX XX
American Century Ginnie Mae Investor 025081 60 5   BGNMX XX
American Century Global Gold Advisor 02507M 20 4 ACGGX XX
American Century Global Gold Investor 02507M 10 5 BGEIX XX
American Century Global Growth A 025086612   ACWAX XX
American Century Global Growth Advisor 025086 82 8   AGGRX XX
American Century Global Growth Institutional 025086 83 6   AGGIX XX
American Century Global Growth Investor 025086 84 4   TWGGX XX
American Century Global Growth R 025086 62 0   AGORX XX
American Century Government Agency Money Investor 025081407   BGAXX XX
Market          
American Century Government Bond Advisor 025081 86 0   ABTAX XX
American Century Government Bond Investor 025081 30 8   CPTNX XX
American Century Growth Advisor 025083 40 3   TCRAX XX
American Century Growth Institutional 025083 20 5   TWGIX XX
American Century Growth Investor 025083 10 6   TWCGX XX
American Century Growth R 025083 18 9   AGWRX XX
American Century Heritage Advisor 025083 76 7   ATHAX XX
American Century Heritage Institutional 025083 78 3   ATHIX XX
American Century Heritage Investor 025083 79 1   TWHIX XX
American Century High-Yield A 024932 81 6   ACYAX XX
American Century High-Yield Advisor 024932 88 1   AHYVX XX
American Century High-Yield Institutional 024932 78 2   ACYIX XX
American Century High-Yield Investor 024932 80 8   ABHIX XX
American Century High-Yield R 024932 69 1   AHYRX XX
American Century Income & Growth Advisor 02507M 40 2 AMADX XX
American Century Income & Growth Institutional 0250M 50 17 AMGIX XX
American Century Income & Growth Investor 02507M 30 3 BIGRX XX
American Century Income & Growth R 02507M 78 2 AICRX XX
5

 

 

Fund Name Share Class CUSIP   Symbol Administrative
          Services Fee Rate
          (Basis Points)
 
American Century Inflation Protection Bond A 024932 75 8   APOAX XX
American Century Inflation Protection Bond Institutional 024932 76 6   APISX XX
American Century Inflation Protection Bond Investor 024932 77 4   APOIX XX
American Century Inflation Protection Bond R 024932 72 5   APORX XX
American Century Inflation-Adjusted Bond Advisor 025081 82 9   AIAVX XX
American Century Inflation-Adjusted Bond Institutional 025081 79 5   AIANX XX
American Century Inflation-Adjusted Bond Investor 025081 70 4   ACITX XX
American Century International Bond Advisor 025082 20 7   AIBDX XX
American Century International Bond Institutional 025082 30 6   AIDIX XX
American Century International Bond Investor 025082 10 8   BEGBX XX
American Century International Core Equity A 02507M618 ACIQX XX
American Century International Core Equity Institutional 02507M550 ACIUX XX
American Century International Core Equity Investor 02507M568 ACIMX XX
American Century International Core Equity R 02507M576 ACIRX XX
American Century International Discovery Advisor 025086802   ACIDX XX
American Century International Discovery Institutional 025086 60 4   TIDIX XX
American Century International Discovery Investor 025086 50 5   TWEGX XX
American Century International Growth A 025086 66 1   CAIGX XX
American Century International Growth Advisor 025086 40 6   TWGAX XX
American Century International Growth Institutional 025086 20 8   TGRIX XX
American Century International Growth Investor 025086 10 9   TWIEX XX
American Century International Growth R 025086 64 6   ATGRX XX
American Century International Stock Investor 025086 63 8   ASKIX XX
American Century International Value Institutional 025086 57 0   ACVUX XX
American Century International Value Investor 025086 58 8   ACEVX XX
American Century International Value R 025086 53 9   ACVRX XX
American Century International Value A 025086 56 2   MEQAX XX
American Century Large Company Value A 025076 69 6   ALAVX XX
American Century Large Company Value Advisor 025076 78 7   ALPAX XX
American Century Large Company Value Institutional 025076 77 9   ALVSX XX
American Century Large Company Value Investor 025076 79 5   ALVIX XX
American Century Large Company Value R 025076 66 2   ALVRX XX
American Century Legacy Focused Large Cap Advisor 02507H700 ACFDX XX
American Century Legacy Focused Large Cap Institutional 02507H601 ACFSX XX
American Century Legacy Focused Large Cap Investor 02507H502 ACFOX XX
American Century Legacy Focused Large Cap R 02507H809 ACFCX XX
American Century Legacy Large Cap Advisor 02507H304 ACGDX XX
American Century Legacy Large Cap Institutional 02507H205 ACGHX XX
 
6

 

 

Fund Name Share Class CUSIP   Symbol Administrative
          Services Fee Rate
          (Basis Points)
 
American Century Legacy Large Cap Investor 02507 H106 ACGOX XX
American Century Legacy Large Cap R 02507 H403 ACGEX XX
American Century Legacy Multi Cap Advisor 02507 H866 ACMFX XX
American Century Legacy Multi Cap Institutional 02507 H874 ACMHX XX
American Century Legacy Multi Cap Investor 02507 H882 ACMNX XX
American Century Legacy Multi Cap R 02507 H858 ACMEX XX
American Century Life Sciences Advisor 025086 79 4 ALSVX XX
American Century Life Sciences Investor 025086 81 0 ALSIX XX
American Century LIVEStrong 2015 Portfolio Advisor 02507 F 20 9 ARFAX XX
American Century LIVEStrong 2015 Portfolio Institutional 02507 F 30 8 ARNIX XX
American Century LIVEStrong 2015 Portfolio Investor 02507 F 10 0 ARFIX XX
American Century LIVEStrong 2015 Portfolio R 02507 F 40 7 ARFRX XX
American Century LIVEStrong 2025 Portfolio Advisor 02507 F 60 5 ARWAX XX
American Century LIVEStrong 2025 Portfolio Institutional 02507 F 70 4 ARWFX XX
American Century LIVEStrong 2025 Portfolio Investor 02507 F 50 6 ARWIX XX
American Century LIVEStrong 2025 Portfolio R 02507 F 80 3 ARWRX XX
American Century LIVEStrong 2035 Portfolio Advisor 02507 F 87 8 ARYAX XX
American Century LIVEStrong 2035 Portfolio Institutional 02507 F 86 0 ARLIX XX
American Century LIVEStrong 2035 Portfolio Investor 02507 F 88 6 ARYIX XX
American Century LIVEStrong 2035 Portfolio R 02507 F 85 2 ARYRX XX
American Century LIVEStrong 2045 Portfolio Advisor 02507 F 83 7 AROAX XX
American Century LIVEStrong 2045 Portfolio Institutional 02507 F 82 9 AOOIX XX
American Century LIVEStrong 2045 Portfolio Investor 02507 F 84 5 AROIX XX
American Century LIVEStrong 2045 Portfolio R 02507 F 81 1 ARORX XX
American Century LIVEStrong Income Portfolio Advisor 02507 F 78 7 ARTAX XX
American Century LIVEStrong Income Portfolio Institutional 02507 F 77 9 ATTIX XX
American Century LIVEStrong Income Portfolio Investor 02507 F 79 5 ARTOX XX
American Century LIVEStrong Income Portfolio R 02507 F 76 1 ARSRX XX
American Century Long Short Equity A 02507 M758 ALIAX XX
American Century Long Short Equity Institutional 02507 M683 ALISX XX
American Century Long Short Equity Investor 02507 M691 ALHIX XX
American Century Long Short Equity R 02507 M725 ALIRX XX
American Century Mid Cap Value Advisor 025076 63 9 ACLAX XX
American Century Mid Cap Value Institutional 025076 64 7 AVUAX XX
American Century Mid Cap Value Investor 025076 65 4 ACMVX XX
American Century Mid Cap Value R 025076 61 3 AMVRX XX
American Century New Opportunities Investor 025083452 TWNOX XX
American Century New Opportunities II A 025083 22 1 ANOAX XX
 
7

 

 

Fund Name Share Class CUSIP   Symbol Administrative
          Services Fee Rate
          (Basis Points)
 
American Century New Opportunities II Institutional 025083 32 0 ANONX XX
American Century New Opportunities II Investor 025083 33 8 ANOIX XX
American Century Newton Investor 025085812 AEVIX XX
American Century One Choice Portfolio: Investor 02507 F720 AOGIX XX
Aggressive      
American Century One Choice Portfolio: Investor 02507 F746 AOCIX XX
Conservative      
American Century One Choice Portfolio: Investor 02507 F738 AOMIX XX
Moderate      
American Century One Choice Portfolio: Very Investor 02507 F753 AONIX XX
Conservative      
American Century One Choice Portfolio: Very Investor 02507 F712 AOVIX XX
Aggressive      
American Century Premium Money Market Investor 024932 70 9 TCRXX XX
American Century Prime Money Market A 024932 86 5 APMXX XX
American Century Prime Money Market Investor 024932 10 5 BPRXX XX
American Century Real Estate Advisor 025076 86 0 AREEX XX
American Century Real Estate Institutional 025076 87 8 REAIX XX
American Century Real Estate Investor 025076 88 6 REACX XX
American Century Select A 025083 25 4 AASLX XX
American Century Select Advisor 025083 80 9 TWCAX XX
American Century Select Institutional 025083 60 1 TWSIX XX
American Century Select Investor 025083 50 2 TWCIX XX
American Century Select R 02508 H 50 1 ASERX XX
American Century Short Duration Bond A 024932477 ACSQX XX
American Century Short Duration Bond Institutional 024932428 ACSUX XX
American Century Short Duration Bond Investor 024932436 ACSNX XX
American Century Short Duration Bond R 024932444 ACSPX XX
American Century Short-Term Government Advisor 025081 84 5 TWAVX XX
American Century Short-Term Government Investor 025081 50 6 TWUSX XX
American Century Small Cap Value Advisor 025076 83 7 ACSCX XX
American Century Small Cap Value Investor 025076 85 2 ASVIX XX
American Century Small Cap Value Institutional 025076845 ACVIX XX
American Century Small Company Advisor 02507 M 82 4 ASQAX XX
American Century Small Company Investor 02507 M 84 0 ASQIX XX
American Century Small Company Institutional 02507 M832 ASCQX XX
American Century Small Company R 02507 M 77 4 ASCRX XX
American Century Strategic Allocation: A 025085 79 6 ALLAX XX
Aggressive      
American Century Strategic Allocation: Advisor 025085 88 7 ACVAX XX
Aggressive      
 
8

 

 

Fund Name Share Class CUSIP   Symbol Administrative
          Services Fee Rate
          (Basis Points)
 
American Century Strategic Allocation: Institutional 025085 85 3   AAAIX XX
Aggressive          
American Century Strategic Allocation: Investor 025085 70 5   TWSAX XX
Aggressive          
American Century Strategic Allocation: R 025085 71 3   AAARX XX
Aggressive          
American Century Strategic Allocation: A 025085 75 4   ACEAX XX
Conservative          
American Century Strategic Allocation: Advisor 025085 30 9   ACCAX XX
Conservative          
American Century Strategic Allocation: Institutional 025085 87 9   ACCIX XX
Conservative          
American Century Strategic Allocation: Investor 025085 10 1   TWSCX XX
Conservative          
American Century Strategic Allocation: R 025085 72 1   AACRX XX
Conservative          
American Century Strategic Allocation: Moderate A 025085 77 0   ASMAX XX
American Century Strategic Allocation: Moderate Advisor 025085 60 6   ACOAX XX
American Century Strategic Allocation: Moderate Institutional 025085 86 1   ASAMX XX
American Century Strategic Allocation: Moderate Investor 025085 40 8   TWSMX XX
American Century Strategic Allocation: Moderate R 025085 82 0   ASMRX XX
American Century Target Maturity 2010 Advisor 024935 88 4   ACTRX XX
American Century Target Maturity 2010 Investor 024935 30 6   BTTNX XX
American Century Target Maturity 2015 Advisor 024935 87 6   ACTTX XX
American Century Target Maturity 2015 Investor 024935 40 5   BTFTX XX
American Century Target Maturity 2020 Advisor 024935 86 8   ACTEX XX
American Century Target Maturity 2020 Investor 024935 50 4   BTTTX XX
American Century Target Maturity 2025 Advisor 024935 85 0   ACTVX XX
American Century Target Maturity 2025 Investor 024935 60 3   BTTRX XX
American Century Technology Investor 025086 77 8   ATCIX XX
American Century Ultra Advisor 025083 85 8   TWUAX XX
American Century Ultra Institutional 025083 87 4   TWUIX XX
American Century Ultra Investor 025083 88 2   TWCUX XX
American Century Ultra R 025083 17 1   AULRX XX
American Century Utilities Advisor 02507 M 87 3 ACUTX XX
American Century Utilities Investor 02507 M 88 1 BULIX XX
American Century Value A 025076 72 0   ACAVX XX
American Century Value Advisor 025076 80 3   TWADX XX
American Century Value Institutional 025076 60 5   AVLIX XX
American Century Value Investor 025076 50 6   TWVLX XX
American Century Value R 025076 62 1   AVURX XX
American Century Veedot Institutional 025083346   AVDIX XX
 
9

 

 

Fund Name Share Class CUSIP   Symbol Administrative
          Services Fee Rate
          (Basis Points)
 
American Century Veedot Investor 025083 55 1   AMVIX XX
American Century Vista Advisor 025083 81 7   TWVAX XX
American Century Vista Institutional 025083 83 3   TWVIX XX
American Century Vista Investor 025083841   TWCVX XX
American Century Vista R 02508 H 88 1 AVTRX XX
American Century-Mason Street High Yield Bond A 024932 66 7   MHYAX XX
American Century-Mason Street High Yield Bond Institutional 024932 67 5   ACYSX XX
American Century-Mason Street High Yield Bond Investor 024932 68 3   ACYVS XX
American Century-Mason Street High Yield Bond R 024932 63 4   ACYRX XX
American Century-Mason Street Mid Cap Growth A 02508 H 78 2 MAGAX XX
American Century-Mason Street Mid Cap Growth Institutional 02508 H 79 0 ACMIX XX
American Century-Mason Street Mid Cap Growth Investor 02508 H 81 6 ACOVX XX
American Century-Mason Street Mid Cap Growth R 02508 H 75 8 ACMRX XX
American Century-Mason Street Select Bond A 024932 59 2   MBDAX XX
American Century-Mason Street Select Bond Institutional 024932 61 8   ACOIX XX
American Century-Mason Street Select Bond Investor 024932 62 6   ACNVX XX
American Century-Mason Street Select Bond R 024932 56 8   ACLRX XX
American Century-Mason Street Small Cap A 02508 H 87 5 MSASX XX
Growth          
American Century-Mason Street Small Cap Institutional 02508 H 86 5 ACWIX XX
Growth          
American Century-Mason Street Small Cap Investor 02508 H 87 3 ACWVX XX
Growth          
American Century-Mason Street Small Cap R 02508 H 82 4 ACWRX XX
Growth          
 
 
 
 
10

 

 

EXHIBIT C
MARKET TIMING POLICY

 


11

 

 


12