Documents, Records. 1. In connection with such appointment, the Trust shall deliver or cause to be delivered the following documents to Sunstone: a) A copy of the Agreement and Declaration of Trust and By-laws of the Trust and all amendments thereto, and a copy of the resolutions of the Board of Trustees of the Trust appointing Sunstone and authorizing the execution of this Transfer Agency Agreement on behalf of the Funds, each certified by the Secretary of the Trust; b) A certificate signed by the President and Secretary of the Trust specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust authorized to sign written stock certificates, and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf of the Trust (hereinafter referred to as "Authorized Person(s)"), and to change the persons authorized to provide such instructions from time to time, it being understood Sunstone shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the Trust; c) In the event the Trust issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees of the Trust (and in a format compatible with Sunstone's operating system), together with a certificate signed by the Secretary of the Trust as to such approval; d) Copies of the Trust's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and e) Opinion of counsel for the Trust with respect to the Trust's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.) 2. The Trust agrees to deliver or to cause to be delivered to Sunstone in Milwaukee, Wisconsin, at the Trust's expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone and all such other documents, records and information as Sunstone may reasonably request in order for Sunstone to perform its services hereunder.
Appears in 2 contracts
Sources: Transfer Agency Agreement (Universal Capital Investment Trust), Transfer Agency Agreement (Garzarelli Funds)
Documents, Records. 1. In connection with such appointment, the Trust Corporation shall deliver or cause to be delivered the following documents to Sunstone:
a) A copy of the Agreement and Declaration Articles of Trust Incorporation and By-laws of the Trust Corporation and all amendments thereto, and a thereto certified by the Secretary of the Corporation;
b) A copy of the resolutions of the Board of Trustees Directors of the Trust Corporation certified by the Secretary of the Corporation appointing Sunstone and authorizing the execution of this Transfer Agency Agreement on behalf of the FundsFunds and designating certain persons to sign stock certificates, each certified by the Secretary if any, and give or authorize others to give written or oral instructions and requests on behalf of the TrustFunds;
bc) A certificate signed by the President and Secretary of the Trust Corporation specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust Corporation authorized to sign written stock certificates, certificates and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf requests; and the name and address of the Trust (hereinafter referred to as "Authorized Person(s)"), and to change legal counsel for the persons authorized to provide such instructions from time to time, it being understood Sunstone shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the TrustCorporation;
cd) In the event the Trust Corporation issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees Directors of the Trust Corporation (and in a format compatible with Sunstone's operating system), together with a certificate Certificate signed by the Secretary of the Trust Corporation as to such approval;
de) Copies of the TrustCorporation's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Trust Corporation with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
ef) Opinion of counsel for the Trust Corporation with respect to the TrustCorporation's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.)
2. The Trust Corporation agrees to deliver or to cause to be delivered to Sunstone in Milwaukee, Wisconsin, at the Trust's Corporation s expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone and all such other documents, records and information as Sunstone may reasonably request in order for Sunstone to perform its services hereunder.
Appears in 1 contract
Documents, Records. 1. In connection with such appointment, the Trust Corporation shall deliver or cause to be delivered the following documents to Sunstone:
a) A copy of the Agreement and Declaration Articles of Trust Incorporation and By-laws of the Trust Corporation and all amendments thereto, and a copy of the resolutions of the Board of Trustees Directors of the Trust Corporation appointing Sunstone and authorizing the execution of this Transfer Agency Agreement on behalf of the Funds, each certified by the Secretary of the TrustCorporation;
b) A certificate signed by the a Co-President and Secretary of the Trust Corporation specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust Corporation authorized to sign written stock certificates, if any, and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf of the Trust Corporation (hereinafter referred to as "Authorized Person(s)Persons"), and to change the persons authorized to provide such instructions from time to time, it being understood Sunstone shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the Trust;.
c) In the event the Trust Corporation issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees Directors of the Trust Corporation (and in a format compatible with Sunstone's operating system), together with a certificate Certificate signed by the Secretary of the Trust Corporation as to such approval;
d) Copies of the TrustCorporation's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Trust Corporation with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
e) Opinion of counsel for the Trust Corporation with respect to the TrustCorporation's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.)
2. The Trust Corporation agrees to deliver or to cause to be delivered to Sunstone in Milwaukee, Wisconsin, at the TrustCorporation's expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone and all such other documents, records and information as Sunstone may reasonably request in order for Sunstone to perform its services hereunder.. ARTICLE II
Appears in 1 contract
Documents, Records. 1. In connection with such appointment, the Trust shall deliver or cause to be delivered the following documents to Sunstone:
a) A copy of the Agreement and Declaration of Trust and By-laws of the Trust and all amendments thereto, and a copy of the resolutions of the Board of Trustees of the Trust appointing Sunstone and authorizing the execution of this Transfer Agency Agreement on behalf of the Funds, ; each certified by the Secretary of the Trust;
; b) A certificate signed by the President and Secretary of the Trust specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust authorized to sign written stock certificates, and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf of the Trust (hereinafter referred to as "Authorized Person(s)"), and to change the persons authorized to provide such instructions from time to timetime (hereinafter referred to as "Authorized Person(s)"), it being understood Sunstone shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the Trust;
; c) In the event the Trust issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees of the Trust (and in a format compatible with Sunstone's operating system), together with a certificate Certificate signed by the Secretary of the Trust as to such approval;
d) Copies of the Trust's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
e) Opinion of counsel for the Trust with respect filed as an exhibit to the Trust's organization and existence under the laws of its state of organization, Registration Statement with respect to the validity of the authorized and outstanding Shares, Shares and whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefornon- assessable.)
2. The Trust agrees to deliver or to cause to be delivered to Sunstone in Milwaukee, Wisconsin, at the Trust's expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone and all such other documents, records and information as Sunstone may reasonably request in order for Sunstone to perform its services hereunder.
Appears in 1 contract
Documents, Records. 1. In connection with such appointment, the Trust Corporation shall deliver or cause to be delivered the following documents to Sunstone:
a) A copy of the Agreement and Declaration Articles of Trust Incorporation and By-laws of the Trust Corporation and all amendments thereto, and a thereto certified by the Secretary of the Corporation;
b) A copy of the resolutions of the Board of Trustees Directors of the Trust Corporation certified by the Secretary of the Corporation appointing Sunstone and authorizing the execution of this Transfer Agency Agreement on behalf of the FundsFunds and designating certain persons to sign stock certificates, each certified by the Secretary if any, and give or authorize others to give written or oral instructions and requests on behalf of the TrustFunds;
bc) A certificate signed by the President and Secretary of the Trust Corporation specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust Corporation authorized to sign written stock certificates, certificates and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf requests; and the name and address of the Trust (hereinafter referred to as "Authorized Person(s)"), and to change legal counsel for the persons authorized to provide such instructions from time to time, it being understood Sunstone shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the TrustCorporation;
cd) In the event the Trust Corporation issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees Directors of the Trust Corporation (and in a format compatible with Sunstone's operating system), together with a certificate Certificate signed by the Secretary of the Trust Corporation as to such approval;
de) Copies of the TrustCorporation's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Trust Corporation with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
ef) Opinion of counsel for the Trust Corporation with respect to the TrustCorporation's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.)
2. The Trust Corporation agrees to deliver or to cause to be delivered to Sunstone in Milwaukee, Wisconsin, at the TrustCorporation's expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone and all such other documents, records and information as Sunstone may reasonably request in order for Sunstone to perform its services hereunder.
Appears in 1 contract
Documents, Records. 1. In connection with such appointment, the Trust shall deliver or cause to be delivered to Sunstone the following documents to Sunstonedocuments:
a) A copy of the Agreement and Declaration of Trust and By-laws of the Trust and all amendments thereto, and a copy of the resolutions of the Board of Trustees of the Trust appointing Sunstone and authorizing the execution of this Transfer Agency Agreement on behalf of the Funds, each certified by the Secretary of the Trust;
b) A certificate signed by the President and Secretary of the Trust specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust authorized to sign written stock certificates, and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf of the Trust (hereinafter referred to as "Authorized Person(s)Persons"), ) and to change the persons authorized to provide such instructions from time to time, it being understood Sunstone shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the Trust;; and .
c) In the event the Trust issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees of the Trust (and in a format compatible with Sunstone's operating system), together with a certificate signed by the Secretary of the Trust as to such approval;
d) Copies of the Trust's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
e) Opinion of counsel for the Trust with respect to the Trust's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor▇▇▇▇ ▇▇▇.)
2. The Trust agrees to deliver or to cause to be delivered to Sunstone in Milwaukee, Wisconsin, at the Trust's expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone and all such other documents, records and information as Sunstone may reasonably request in order for Sunstone to perform its services hereunder.
Appears in 1 contract
Sources: Transfer Agency Agreement (Marsico Investment Fund)
Documents, Records. 1. In connection with such appointment, the Trust shall deliver or cause to be delivered the following documents to SunstoneUMBFS:
a) A copy of the Agreement and Declaration of Trust and By-laws of the Trust and all amendments thereto, and a copy of the resolutions of the Board of Trustees of the Trust appointing Sunstone UMBFS and authorizing the execution of this Transfer Agency Agreement on behalf of the Funds, each certified by the Secretary of the Trust;
b) A certificate signed by the President and Secretary of the Trust specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust authorized to sign written stock certificates, and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf of the Trust (hereinafter referred to as "Authorized Person(s)Persons"), ) and to change the persons authorized to provide such instructions from time to time, it being understood Sunstone UMBFS shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the Trust;
c) In the event the Trust issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees of the Trust (and in a format compatible with Sunstone's operating system), together with a certificate signed by the Secretary of the Trust as to such approval;
d) Copies of the Trust's Registration Statement, as amended to date, and the most recently filed Pre- or Post-Effective Amendment thereto, filed by the Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
e) Opinion of counsel for the Trust with respect to the Trust's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.)
2. The Trust agrees to deliver or to cause to be delivered to Sunstone UMBFS in Milwaukee, Wisconsin, at the Trust's expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone UMBFS and all such other documents, records and information as Sunstone UMBFS may reasonably request in order for Sunstone UMBFS to perform its services hereunder.
Appears in 1 contract
Documents, Records. 1. In connection with such appointment, the Trust shall deliver or cause to be delivered to Sunstone the following documents to Sunstonedocuments:
a) A copy of the Agreement and Declaration of Trust and By-laws of the Trust and all amendments thereto, and a copy of the resolutions of the Board of Trustees of the Trust appointing Sunstone and authorizing the execution of this Transfer Agency Agreement on behalf of the Funds, each certified by the Secretary of the Trust;
b) A certificate signed by the President and Secretary of the Trust specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust authorized to sign written stock certificates, and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf of the Trust (hereinafter referred to as "Authorized Person(s)Persons"), ) and to change the persons authorized to provide such instructions from time to time, it being understood Sunstone shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the Trust;; and
c) In the event the Trust issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees of the Trust (and in a format compatible with Sunstone's operating system), together with a certificate signed by the Secretary of the Trust as to such approval;
d) Copies of the Trust's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
e) Opinion of counsel for the Trust with respect to the Trust's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor▇▇▇▇ ▇▇▇.)
2. The Trust agrees to deliver or to cause to be delivered to Sunstone in Milwaukee, Wisconsin, at the Trust's expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone and all such other documents, records and information as Sunstone may reasonably request in order for Sunstone to perform its services hereunder.
Appears in 1 contract
Documents, Records. 1. In connection with such appointment, the Trust Corporation shall deliver or cause to be delivered the following documents to Sunstone:
a) A copy of the Agreement and Declaration Articles of Trust Incorporation and By-laws of the Trust Corporation and all amendments thereto, and a thereto certified by the Secretary of the Corporation;
b) A copy of the resolutions of the Board of Trustees Directors of the Trust Corporation certified by the Secretary of the Corporation appointing Sunstone and authorizing the execution of this Transfer Agency Agreement on behalf of the FundsFunds and designating certain persons to sign stock certificates, each certified by the Secretary if any, and give written or oral instructions and requests on behalf of the TrustFunds;
bc) A certificate signed by the President and Secretary of the Trust Corporation specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust Corporation authorized to sign written stock certificates, certificates and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf requests; and the name and address of the Trust (hereinafter referred to as "Authorized Person(s)"), and to change legal counsel for the persons authorized to provide such instructions from time to time, it being understood Sunstone shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the TrustCorporation;
cd) In the event the Trust Corporation issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees Directors of the Trust Corporation (and in a format compatible with Sunstone's operating system), together with a certificate Certificate signed by the Secretary of the Trust Corporation as to such approval;
de) Copies of the TrustCorporation's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Trust Corporation with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
ef) Opinion of counsel for the Trust Corporation with respect to the TrustCorporation's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.)
2. The Trust Corporation agrees to deliver or to cause to be delivered to Sunstone in Milwaukee, Wisconsin, at the TrustCorporation's expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone and all such other documents, records and information as Sunstone may reasonably request in order for Sunstone to perform its services hereunder.
Appears in 1 contract
Sources: Transfer Agency Agreement (Wasatch Advisors Funds Inc)
Documents, Records. 1. In connection with such appointment, the Trust shall deliver or cause to be delivered the following documents to Sunstone:
a) A copy of the Agreement and Declaration of Trust and By-laws of the Trust and all amendments thereto, and a copy of the resolutions of the Board of Trustees of the Trust appointing Sunstone and authorizing the execution of this Transfer Agency Agreement on behalf of the Funds, each certified by the Secretary of the Trust;
b) A certificate signed by the President and Secretary of the Trust specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust authorized to sign written stock certificates, and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf of the Trust (hereinafter referred to as "Authorized Person(s)Persons"), ) and to change the persons authorized to provide such instructions from time to time, it being understood Sunstone shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the Trust;
c) In the event the Trust issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees of the Trust (and in a format compatible with Sunstone's operating system), together with a certificate signed by the Secretary of the Trust as to such approval;
d) Copies of the Trust's Registration Statement, as amended to date, and the most recently filed Pre- or Post-Effective Amendment thereto, filed by the Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
e) Opinion of counsel for the Trust with respect to the Trust's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.)
2. The Trust agrees to deliver or to cause to be delivered to Sunstone in Milwaukee, Wisconsin, at the Trust's expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone and all such other documents, records and information as Sunstone may reasonably request in order for Sunstone to perform its services hereunder.
Appears in 1 contract
Documents, Records. 1. In connection with such appointment, the Trust shall deliver or cause to be delivered to UMBFS the following documents to Sunstonedocuments:
a) A copy of the Agreement and Declaration of Trust and By-laws of the Trust and all amendments thereto, and a copy of the resolutions of the Board of Trustees of the Trust appointing Sunstone UMBFS and authorizing the execution of this Transfer Agency Agreement on behalf of the Funds, each certified by the Secretary of the Trust;
b) A certificate signed by the President and Secretary of the Trust specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust authorized to sign written stock certificates, and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf of the Trust (hereinafter referred to as "“Authorized Person(s)"), Persons”) and to change the persons authorized to provide such instructions from time to time, it being understood Sunstone UMBFS shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the Trust;; and
c) In the event the Trust issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees of the Trust (and in a format compatible with Sunstone's operating system), together with a certificate signed by the Secretary of the Trust as to such approval;
d) Copies of the Trust's ’s Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Trust with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "“1933 Act"”), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
e) Opinion of counsel for the Trust with respect to the Trust's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor1▇▇▇ ▇▇▇.)
2. The Trust agrees to deliver or to cause to be delivered to Sunstone UMBFS in Milwaukee, Wisconsin, at the Trust's ’s expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone UMBFS and all such other documents, records and information as Sunstone UMBFS may reasonably request in order for Sunstone UMBFS to perform its services hereunder.
Appears in 1 contract
Sources: Transfer Agency Agreement (Marsico Investment Fund)
Documents, Records. 1. In connection with such appointment, the Trust Corporation shall deliver or cause to be delivered the following documents to Sunstone:
a) A copy of the Agreement and Declaration Articles of Trust Incorporation and By-laws of the Trust Corporation and all amendments thereto, and a copy of the resolutions of the Board of Trustees Directors of the Trust Corporation appointing Sunstone and authorizing the execution of this Transfer Agency Agreement on behalf of the Funds, each certified by the Secretary of the TrustCorporation;
b) A certificate signed by the a Co-President and Secretary of the Trust Corporation specifying: the number of authorized Shares and the number of such authorized Shares issued and currently outstanding, if any; the names and specimen signatures of the officers of the Trust Corporation authorized to sign written stock certificates, if any, and the individuals authorized to provide oral instructions and to sign written instructions and requests on behalf of the Trust Corporation (hereinafter referred to as "Authorized Person(s)Persons"), and to change the persons authorized to provide such instructions from time to time, it being understood Sunstone shall not be held to have notice of any change in the authority of any Authorized Person until receipt of written notice thereof from the Trust;.
c) In the event the Trust Corporation issues Share certificates, specimen Share certificates for each Fund in the form approved by the Board of Trustees Directors of the Trust Corporation (and in a format compatible with Sunstone's operating system), together with a certificate Certificate signed by the Secretary of the Trust Corporation as to such approval;
d) Copies of the TrustCorporation's Registration Statement, as amended to date, and the most recently filed Post-Effective Amendment thereto, filed by the Trust Corporation with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "1933 Act"), and under the 1940 Act, as amended, together with any applications filed in connection therewith; and
and e) Opinion of counsel for the Trust Corporation with respect to the TrustCorporation's organization and existence under the laws of its state of organization, the validity of the authorized and outstanding Shares, whether such Shares are fully paid and non-assessable and the status of such Shares under the Securities Act of 1933, as amended, and any other applicable federal law or regulation (i.e., if subject to registration, that they have been registered and that the Registration Statement has become effective or, if exempt, the specific grounds therefor.)
2. The Trust Corporation agrees to deliver or to cause to be delivered to Sunstone in Milwaukee, Wisconsin, at the TrustCorporation's expense, all of its shareholder account records relating to the Funds in a format acceptable to Sunstone and all such other documents, records and information as Sunstone may reasonably request in order for Sunstone to perform its services hereunder.. ARTICLE II
Appears in 1 contract