EX-99.(H)(XIII) 4 hxiii.txt AMENDMENT TO TRANSFER AGNCY AND SERVICE AGREEMENT AMENDMENT To Transfer Agency and Service Agreement Between Henderson Global Funds and State Street Bank and Trust Company This Amendment is made as of this 1st day of July 2006 (the "Amendment"), between Henderson Global Funds and State Street Bank and Trust Company. In accordance with Section 15.1 (Amendment) of the Transfer Agency and Service Agreement between Henderson Global Funds and State Street Bank and Trust Company dated as of September 1, 2001, (the "Agreement") the parties desire to amend the Agreement as set forth herein. NOW THEREFORE, the parties agree as follows: 1. Schedule 3.1. Schedule 3.1 to the Agreement dated January 1, 2003 through December 31, 2006 is replaced and superseded with Schedule 3.1 attached hereto and dated July 1, 2006 through December 31, 2006; 2. All defined terms and definitions in the Agreement shall be the same in this amendment except as specifically revised by this Amendment; 3. Except as specifically set forth in this Amendment, all other terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed in their names and on their behalf by and through their duly authorized officers, as of the day and year first above written. HENDERSON GLOBAL FUNDS STATE STREET BANK AND TRUST COMPANY BY: /s/ Scott E. Volk BY: /s/ Joseph L. Hooley ------------------ -------------------- NAME: Scott E. Volk Joseph L. Hooley ------------- Executive Vice President TITLE: Vice President SCHEDULE 3.1 FEES Effective July 1, 2006 Through December 31, 2006 Annual Account Service Fees*: Fees are billable on a monthly basis at the rate of 1/12 of the annual fee. A charge is made for an account in the month that an account opens or closes. Account service fees are the higher of: open account charges plus closed account charges or the complex minimum. ALL FEES SUBJECT TO AN ANNUAL COMPLEX MINIMUM OF $441,000. Open Account Fee $ 16.53 Closed Account Fee $ 2.20 Base Fee 1-15 CUSIPS Included in Complex Fee Each Additional CUSIP** over 15 $12,500.00/CUSIP * The Annual Account Service Fees shall be subject to a 5% increase each September 1st. ** Each Fund/Class is considered a separate CUSIP with the exception of the Daily Assets Cash Fund (a separate series of Monarch Funds) that shall be considered a single CUSIP. Activity Based Fees New Account Set-up $ 4.50/each NSCC New Account Set-up $ 1.50/each Manual Transactions $ 2.00/each Telephone Calls+- $ 2.50/minute Correspondence $ 5.00/each ACH $ .50 +- Excludes calls received from 6:00-8:00 PM, fees for such calls shall be 5.00/each IRA Custodial Fees ------------------ Annual Maintenance $ 13.00/Account Other Fees ---------- Annual Anti-Money Laundering Support Fee+-+- $.15/Non-networked Account +-+- $200.00 Minimum monthly charge Out-of-Pocket Expenses Billed as incurred ---------------------- Out-of-Pocket expenses include but are not limited to: confirmation statements, investor statements, postage, forms, audio response, banking, telephone, records retention, customized programming/enhancements, federal wire, transcripts, microfilm, microfiche, and expenses incurred at the specific direction of the Fund. HENDERSON GLOBAL FUNDS STATE STREET BANK AND TRUST COMPANY BY: /s/ Scott E. Volk BY: /s/ Joseph L. Hooley ------------------ -------------------- Joseph L. Hooley NAME: Scott E. Volk Executive Vice President ------------- TITLE: Vice President --------------