EX-99 3 amendtaagmnt078.htm AMENDMENT TO TRANSFER AGENCY AGREEMENT amendtaagmnt078.htm - Generated by SEC Publisher for SEC Filing

 

AMENDMENT

 

THIS AMENDMENT is made as of the 5th day of October, 2011 and amends the AMENDED AND RESTATED TRANSFER AGENCY AGREEMENT (the “Agreement”) dated as of June 1, 2007 between each mutual fund, and each portfolio or series of each mutual fund, listed on Schedule A hereto (each, a “Fund” and, collectively, the “Funds”) as such Schedule may be revised from time to time, and DREYFUS TRANSFER, INC. (the “Transfer Agent”).

 

For good and valuable consideration, the sufficiency of which is hereby acknowledged, and in consideration of the mutual covenants of the parties herein contained, the parties acknowledge and agree that the section of Appendix C(1) to the Agreement, headed “Anti-Money Laundering Duties,” is deleted in its entirety and replaced with the following:

 

Anti-Money Laundering Duties

 (a) On a daily basis, submit all new customer account registrations and registration changes against the Office of Foreign Assets Control (“OFAC”) database and such other lists or databases as may be required from time to time by applicable regulatory authorities;

 

(b) Submit all account registrations through OFAC databases and such other lists or databases as may be required from time to time by applicable regulatory authorities;

 

(c) On a daily basis, submit special payee information from checks, outgoing wires and

systematic withdrawal files through the OFAC database;

 

(d) Block accounts and file reports with OFAC as required under OFAC-administered regulations;

 

(e) Review certain types of redemption transactions that occur within thirty (30) days of an account establishment, registration change, or banking information change (e.g., redemption by wire within 30 days of banking information change; rapid depletion of account balance after establishment; and redemption by check within 30 days of address change);

 

(f) Review wires sent pursuant to banking instructions other than those on file;

 

(g) Review accounts with small balances that have large purchases;

 

(h) Review accounts with frequent activity within a specified date range followed by a large redemption;

 

(i) Review purchase and redemption activity by check that equals or exceeds $100,000 on any given day;

 

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(j) Determine when a suspicious activity report (“SAR”) should be filed as required by regulations applicable to mutual funds; prepare and file the SAR;

 

(k)   Compare account information to any FinCEN request received by the Fund pursuant to USA PATRIOT Act Sec. 314(a).  Provide the Fund with the necessary information for it to respond to such request within required time frames;

 

(l) Follow the Fund’s Customer Identification Program to (i) verify the identity of any person seeking to become a new customer of the Fund, (ii) maintain records of the information used to verify the person’s identity, and (iii) determine whether the person appears on any lists of known or suspected terrorists or terrorist organizations provided to the Fund by any government agency;

 

(m)  Conduct due diligence and, if required, enhanced due diligence in accordance with 31 C.F.R. 1010.610(b) for existing correspondent accounts for foreign financial institutions.  Perform an assessment of the money laundering risk presented by the account based on a consideration of relevant factors in accordance with applicable law and information provided by the foreign financial institution in a financial institution questionnaire.  If an account is determined to have a medium or above risk-ranking, monitor the account on a monthly basis for unusual activity. 

 

(n) Conduct due diligence to determine if the Fund is involved with any foreign jurisdiction, institution, class of transactions or type of account designated, from time to time, by the U.S. Department of the Treasury in order to take certain “special measures” as required under Section 311 of the USA PATRIOT Act; and

 

(o) Compare all new customer accounts and registrations changes to an internal database of known offenders.

 

Maintain all records required to be maintained by the Fund under the USA PATRIOT Act in connection with the performance of the Transfer Agent's duties hereunder.

 

 

IN WITNESS WHEREOF, THE PARTIES 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:

 

DREYFUS TRANSFER, INC.                               EACH OF THE FUNDS LISTED ON

                                                                                    SCHEDULE A HERETO

 

By:           /s/ Patrick Synan                                        By:           /s/ Joni L. Charatan           

 

Name:     Patrick Synan                                              Name:     Joni L. Charatan                 

 

Title:        President                                                      Title:       Vice President                     

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Schedule A

 

                        Advantage Funds, Inc.                                                                                                                                              

                     Dreyfus Emerging Leaders Fund                                                                      

                     Dreyfus Global Absolute Return Fund                                                             

                     Dreyfus Global Dynamic Bond Fund                                                                

                     Dreyfus Global Real Return Fund                                                                     

                     Dreyfus International Value Fund                                          

                     Dreyfus Opportunistic Midcap Value Fund                                                    
                     Dreyfus Opportunistic Small Cap Fund                                                           
                     Dreyfus Strategic Value Fund                                                                             

                     Dreyfus Structured Midcap Fund                                                                      

                     Dreyfus Technology Growth Fund                                                                    

                     Dreyfus Total Emerging Markets Fund                                                           

                     Dreyfus Total Return Advantage Fund                                                            

                     Global Alpha Fund                                                                                                

          BNY Mellon Funds Trust                                                                                                   

                     BNY Mellon Asset Allocation Fund                                        
                       BNY Mellon Bond Fund                                                                                       

                     BNY Mellon Emerging Markets Fund                                                              

                     BNY Mellon Focused Equity Opportunities Fund               

                     BNY Mellon Income Stock Fund                                                                        

                     BNY Mellon Intermediate Bond Fund                                                              

                     BNY Mellon Intermediate U.S. Government Fund             

                     BNY Mellon International Appreciation Fund                                               

                     BNY Mellon International Fund                                                                        

                     BNY Mellon Large Cap Market Opportunities Fund                                   

                     BNY Mellon Large Cap Stock Fund                                                                  

                     BNY Mellon Massachusetts Intermediate Municipal Bond Fund              

                     BNY Mellon Money Market Fund                                                                     

                     BNY Mellon Mid Cap Stock Fund                                                                      

                     BNY Mellon Municipal Opportunities Fund                                                   

                     BNY Mellon National Intermediate Municipal Bond Fund                        

                     BNY Mellon National Municipal Money Market Fund                                

                     BNY Mellon National Short-Term Municipal Bond Fund

                     BNY Mellon New York Intermediate Tax-Exempt Bond Fund                  

                     BNY Mellon Pennsylvania Intermediate Municipal Bond Fund               

                     BNY Mellon Short-Term U.S. Government Securities Fund                       

                     BNY Mellon Small Cap Stock Fund                                        

                     BNY Mellon Small/Mid Cap Fund                                                                     

                     BNY Mellon Tax-Sensitive Large Cap Multi Strategy Fund                      

                      BNY Mellon U.S. Core Equity 130/30 Fund                                                   

                        CitizensSelect Funds                                                                                                                                                 

                      CitizensSelect Prime Money Market Fund                           

                      CitizensSelect Treasury Money Market Fund                                               

        Dreyfus Appreciation Fund, Inc.                                                                                     

        Dreyfus BASIC Money Market Fund, Inc.                                         

        Dreyfus BASIC U.S. Government Money Market Fund                                                                                 

        Dreyfus BASIC U.S. Mortgage Securities Fund                                                                                                

        Dreyfus Bond Funds, Inc.                                                                                                                                        
                     Dreyfus Municipal Bond Fund                                                                           
        Dreyfus Cash Management                                                                                                                                    

        Dreyfus Connecticut Municipal Money Market Fund, Inc.                                                                            

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        Dreyfus Dynamic Alternatives Fund, Inc.                                                                                                          

        The Dreyfus Fund Incorporated                                                                                                                           

Dreyfus Funds, Inc.                                                                                                                                               

                      Dreyfus Equity Growth Fund                                                                            

                      Dreyfus Mid-Cap Growth Fund                                                                        

        Dreyfus Government Cash Management Funds                                                                                               

                     Dreyfus Government Cash Management                                                         

                     Dreyfus Government Prime Cash Management                 

        Dreyfus Growth and Income Fund, Inc.

        Dreyfus Index Funds, Inc.                                                                                                                                       

                     Dreyfus International Stock Index Fund                                                          

                     Dreyfus S&P 500 Index Fund                                                                             

                     Dreyfus Smallcap Stock Index Fund                                                                 
                        Dreyfus Institutional Cash Advantage Funds                                                                                                    

                     Dreyfus Institutional Cash Advantage Fund                                                   

        Dreyfus Institutional Preferred Money Market Funds                                                                                   

                     Dreyfus Institutional Preferred Money Market Fund                                  

                     Dreyfus Institutional Preferred Plus Money Market Fund                         

              Dreyfus Institutional Reserves Funds                                                                                                                  

                        Dreyfus Institutional Reserves Treasury Prime Fund                                 

                      Dreyfus Institutional Reserves Treasury Fund                                              

                      Dreyfus Institutional Reserves Money Fund                                                  

        Dreyfus Intermediate Municipal Bond Fund, Inc.                                                                                            

                        Dreyfus International Funds, Inc.                                                                                                                         

                     Dreyfus Brazil Equity Fund                                                                                

                     Dreyfus Emerging Markets Fund                                                                      

                        Dreyfus Investment Grade Funds, Inc.                                                                                                                

                     Dreyfus Inflation Adjusted Securities Fund                                                    

                     Dreyfus Intermediate Term Income Fund                            

                     Dreyfus Short Term Income Fund                                                                     

                        Dreyfus Investment Funds                                                                                                                                      

                      Dreyfus/The Boston Company Large Cap Core Fund                                

                      Dreyfus/The Boston Company Small Cap Value Fund                               

                      Dreyfus/The Boston Company Small Cap Growth Fund 

                      Dreyfus/The Boston Company Small/Mid Cap Growth Fund                   

                      Dreyfus/The Boston Company Small Cap Tax-Sensitive Equity Fund   

                      Dreyfus/The Boston Company Emerging Markets Core Equity Fund   

                      Dreyfus/Standish Fixed Income Fund                                                              

                      Dreyfus/Standish Global Fixed Income Fund                                                

                      Dreyfus/Standish International Fixed Income Fund                                    

                      Dreyfus/Standish Intermediate Tax Exempt Bond Fund                            

                      Dreyfus/Newton International Equity Fund                                                   

                        Dreyfus Investment Portfolios                                                                                                                              

                     Core Value Portfolio                                                                                                          

                     MidCap Stock Portfolio                                                                                       

                      Small Cap Stock Index Portfolio                                                                       

                     Technology Growth Portfolio                                                                            

                        The Dreyfus/Laurel Funds, Inc.                                                                                                                            

                     Dreyfus AMT-Free Municipal Reserves                                                          

                     Dreyfus BASIC S&P 500 Stock Index Fund                                                    

                     Dreyfus Bond Market Index Fund                                                                     

                     Dreyfus Core Equity Fund                                                                                   

                     Dreyfus Disciplined Stock Fund                                                                         

                     Dreyfus Money Market Reserves                                                                       

                     Dreyfus Small Cap Fund

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                     Dreyfus Opportunistic Fixed Income Fund                          
                     Dreyfus Tax Managed Growth Fund                                                                

                     Dreyfus U.S. Treasury Reserves                                                                         

                        The Dreyfus/Laurel Funds Trust                                                                                                                          

                     Dreyfus Core Value Fund                                                                                    

                     Dreyfus Emerging Markets Debt Local Currency Fund                             

                     Dreyfus Equity Income Fund                                                                              

                     Dreyfus Global Equity Income Fund                                                                

                       Dreyfus High Yield Fund                                                                                     

                       Dreyfus International Bond Fund                                                                      

          The Dreyfus/Laurel Tax-Free Municipal Funds                                                                                              

                       Dreyfus BASIC California Municipal Money Market Fund                      

                       Dreyfus BASIC Massachusetts Municipal Money Market Fund                

                       Dreyfus BASIC New York Municipal Money Market Fund                        

          Dreyfus LifeTime Portfolios, Inc.                                                                                                                        

                       Growth & Income Portfolio                                                                                

          Dreyfus Liquid Assets, Inc.                                                                                                                                     

Dreyfus Manager Funds I                                                                                                                        

                       Dreyfus Alpha Growth Fund                                                                               

                       Dreyfus Research Core Fund                                                                              

                       Dreyfus MidCap Core Fund                                        

Dreyfus Manager Funds II                                                                                                                                     

                       Dreyfus Balanced Opportunity Fund                                                                

          Dreyfus Massachusetts Municipal Money Market Fund                                                                                

          Dreyfus Midcap Index Fund, Inc.                                                                                                                         

          Dreyfus Money Market Instruments, Inc.                                                                                                           

                       Government Securities Series                                                                             

                       Money Market Series                                                                                            

          Dreyfus Municipal Bond Opportunity Fund                                                                                                      

          Dreyfus Municipal Cash Management Plus                                                                                                      

Dreyfus Municipal Funds, Inc.                                                                                                                              

                       Dreyfus AMT-Free Municipal Bond Fund                            

                       Dreyfus BASIC Municipal Money Market Fund                                           

                       Dreyfus BASIC New Jersey Municipal Money Market Fund                     

                       Dreyfus High Yield Municipal Bond Fund 

          Dreyfus Municipal Money Market Fund, Inc.                                                                                                   

          Dreyfus New Jersey Municipal Bond Fund, Inc.                                                                                               

          Dreyfus New Jersey Municipal Money Market Fund, Inc.                                                                             

          Dreyfus New York AMT-Free Municipal Money Market Fund                                                                   

          Dreyfus New York AMT-Free Municipal Bond Fund                                                                                     

          Dreyfus New York Municipal Cash Management                                                                                 

          Dreyfus New York Tax Exempt Bond Fund, Inc.                                                                                             

          Dreyfus Opportunity Funds                                                                                                                        

                       Dreyfus Global Sustainability Fund                                                                  

                       Dreyfus Natural Resources Fund                                                                       

          Dreyfus Pennsylvania Municipal Money Market Fund                                                                       

          Dreyfus Premier California AMT-Free Municipal Bond Fund, Inc.                                                          
                       Dreyfus California AMT-Free Municipal Bond Fund                                 
          Dreyfus Premier GNMA Fund, Inc.                                                                                                           

                       Dreyfus GNMA Fund                                                                                            

          Dreyfus Premier Investment Funds, Inc.                                                                                                            

                       Dreyfus Diversified International Fund                                                           

                       Dreyfus Diversified Large Cap Fund                                                               

                       Dreyfus Emerging Asia Fund                                                                             

                       Dreyfus Global Real Estate Securities Fund                                                   

                       Dreyfus Greater China Fund                                                                              

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                       Dreyfus India Fund                                                                                                

                       Dreyfus Large Cap Growth Fund                                                                      

                       Dreyfus Large Cap Equity Fund                                                                        

                       Dreyfus Large Cap Value Fund                                                                         

                       Dreyfus Satellite Alpha Fund                                                                              

          Dreyfus Premier Short‑Intermediate Municipal Bond Fund                                                                        
                       Dreyfus Short‑Intermediate Municipal Bond Fund                                      

          Dreyfus Premier Worldwide Growth Fund, Inc.                                                                                              
                     Dreyfus Worldwide Growth Fund                                                                     

          Dreyfus Research Growth Fund, Inc.                                                                             

          Dreyfus Short‑Intermediate Government Fund                                                          

          The Dreyfus Socially Responsible Growth Fund, Inc.                                                

          Dreyfus State Municipal Bond Funds                                                                             

                       Dreyfus Connecticut Fund                                                                                   

                       Dreyfus Maryland Fund                                                                                       

                       Dreyfus Massachusetts Fund                                                                               

                       Dreyfus Minnesota Fund                                                                                      

                       Dreyfus Ohio Fund                                                                                                

                       Dreyfus Pennsylvania Fund                                                                                

              Dreyfus Stock Funds                                                                                                                                            

                       Dreyfus International Equity Fund                                        

                       Dreyfus Small Cap Equity Fund                                                                        

          Dreyfus Stock Index Fund, Inc.

          Dreyfus Tax Exempt Cash Management Funds                                                                                               

                       Dreyfus California AMT-Free Municipal Cash Management                   

                       Dreyfus New York AMT-Free Municipal Cash Management                    

                       Dreyfus Tax Exempt Cash Management                                                         

                       The Dreyfus Third Century Fund, Inc.                                                                                                  

          Dreyfus Treasury & Agency Cash Management                                                                                             

          Dreyfus Treasury Prime Cash Management                                                                                                     

          Dreyfus 100% U.S. Treasury Money Market Fund                                                                                         

          Dreyfus U.S. Treasury Intermediate Term Fund                                                                                             

          Dreyfus U.S. Treasury Long Term Fund                                                                                                           

          Dreyfus Variable Investment Fund                                                                                                                      

                       Appreciation Portfolio                                                                                         

                       Opportunistic Small Cap Fund                                                                           
                       Growth and Income Portfolio                                                                             

                       International Equity Portfolio                                                                           

                       International Value Portfolio                                                                             

                       Money Market Portfolio                                                                                      

                       Quality Bond Portfolio                                                                                         

          Dreyfus Worldwide Dollar Money Market Fund, Inc.                                                                                    

          General California Municipal Money Market Fund                                                                                      
                        General Government Securities Money Market Funds, Inc.                                                                         

                       General Government Securities Money Market Fund                                 

                       General Treasury Prime Money Market Fund                                              

          General Money Market Fund, Inc.                                                                                  

          General Municipal Money Market Funds, Inc.                                                            

                       General Municipal Money Market Fund                                                        

          General New York Municipal Money Market Fund                                                   

          Strategic Funds, Inc.                                                                                                           

                       Dreyfus Active MidCap Fund                                                                             

                       Dreyfus Conservative Allocation Fund                                                            

                       Dreyfus Growth Allocation Fund                                                                       

                       Dreyfus Moderate Allocation Fund                                        

                       Dreyfus Select Managers Large Cap Growth Fund                                      

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                       Dreyfus Select Managers Small Cap Growth Fund                                       

                       Dreyfus Select Managers Small Cap Value Fund                                          

                       Dreyfus U.S. Equity Fund                                                                                     

                       Global Stock Fund                                                                                                 

                       International Stock Fund