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City of Santa Ana_Master Services Agreement_5.23.23 2 <br />TABLE OF CONTENTS <br />1. DEFINITIONS........................................................................................................................................ 3 <br />2. SCOPE OF THE AGREEMENT ........................................................................................................... 4 <br />3. FEES/CHARGES .................................................................................................................................. 4 <br />4. CONFIDENTIALITY .............................................................................................................................. 4 <br />5. DATA PROTECTION ............................................................................................................................ 5 <br />6. BUSINESS CONTINUITY & DISASTER RECOVERY ........................................................................ 6 <br />7. RECORDS ............................................................................................................................................ 6 <br />8. INTELLECTUAL PROPERTY RIGHTS ............................................................................................... 6 <br />9. INDEMNIFICATION, LIMITATION OF LIABILITY & INSURANCE ..................................................... 7 <br />10. DISPUTE RESOLUTION ...................................................................................................................... 7 <br />11. TERM & TERMINATION ...................................................................................................................... 8 <br />12. MISCELLANEOUS ............................................................................................................................... 8 <br />EXHIBIT 1: DATA SECURITY & PRIVACY ADDENDUM ........................................................................ 13 <br />EXHIBIT 2: PROCEDURES FOR COMPLYING WITH FUND COMPANY MARKET TIMING AND <br />EXCESSIVE TRADING .............................................................................................................................. 19 <br />EXHIBIT 3: PRIVACY NOTICE .................................................................................................................. 20 <br />EXHIBIT 4: BUSINESS CONTINUITY PLAN NOTICE .............................................................................. 22 <br />SCHEDULE A-1: RECORDKEEPING SERVICES & FEE SCHEDULE .................................................. 23 <br />EXHIBIT A-1: APPROVED QDRO PROCEDURES AND MODEL FORM FOR QUALIFIED PLANS .... 47 <br />EXHIBIT A-2: PERFORMANCE STANDARDS ........................................................................................ 59 <br />SCHEDULE B: INVESTMENT ADVISORY & MANAGEMENT SERVICES SCHEDULE ........................ 63 <br />EXHIBIT B-1: DISCRETIONARY INVESTMENT ADVISORY AND NON-DISCRETIONARY SERVICES . <br />72 <br />EXHIBITB-2:EAG ADV BROCHURE ........................................................................................................ 76