LIST OF SERIES. Effective October 1, 2013, Schedule A (List of Series) of the Agreement is hereby amended and restated with the Schedule A attached hereto.
LIST OF SERIES. ICON Consumer Select Fund ICON Equity Fund ICON Equity Income Fund ICON Fixed Income Fund ICON Health and Information Technology Fund ICON Natural Resources Fund ICON Utilities and Income Fund Xxxxxxx BDC Income Fund Xxxxxxx Emerging Markets Fund Xxxxxxx International Select Equity Fund Xxxxxxx Real Estate Income Fund Xxxxxxx Tactical Credit Fund
LIST OF SERIES. Xxxxxxx Greater China Fund Xxxxxxx International Select Equity Fund Xxxxxxx Tactical Credit Fund Xxxxxxx Real Estate Income Fund Xxxxxxx BDC Income Fund APPENDIX B SERVICES Act as legal underwriter/distributor Maintain and supervise FINRA registrations for licensed individuals Provide investment company advertising and sales literature review, approval, FINRA filings and record maintenance Prepare, update, execute and maintain financial intermediary agreements Administer intermediary' due diligence program Perform financial intermediary payments and reporting Support financial intermediary relations
LIST OF SERIES. Pathway Advisors Conservative Fund Pathway Advisors Growth and Income Fund Pathway Advisors Aggressive Growth Fund APPENDIX B TRANSFER AGENCY SERVICES | SHAREHOLDER SERVICING • Handle 800-line phone calls on recorded lines • Coordinate daily fulfillment process • Compile monthly reports on call statistics • Provide automated telephone services via ALPS’ IVR system | TRANSFER AGENCY • Establish and maintain shareholder accounts • Process and record purchase and redemption orders • Process dividends and capital gain distributions • Perform NSCC processing • Produce and mail confirmations and account statements • Process year-end shareholder tax reporting • Perform required AML and CIP services • TAWeb & AVA: Shareholder Data Access (SDA) APPENDIX C
LIST OF SERIES. Green California Tax-Free Income Fund U.S. Government Securities Fund The United States Treasury Trust S&P 500 Index Fund S&P MidCap Index Fund S&P SmallCap Index Fund Xxxxxxx Core Value Fund Nasdaq-100 Index Fund Xxxxxxx Xxxxx Alpha Fund APPENDIX C
LIST OF SERIES. California Tax Free Income Fund U.S. Government Securities Fund Short-Term U.S. Government Bond Fund The United States Treasury Trust S&P 500 Index Fund S&P MidCap Index Fund S&P SmallCap Index Fund Xxxxxxx Core Value Fund European Growth & Income Fund Nasdaq-100 Index Fund Xxxxxxx Xxxxx Alpha Fund 11 APPENDIX B SERVICES Act as legal underwriter/distributor Maintain and supervise FINRA registrations for licensed individuals Provide investment company advertising and sales literature review, approval, FINRA filings and record maintenance Prepare, update, execute and maintain financial intermediary agreements Administer intermediary due diligence program Perform financial intermediary payments and reporting Support financial intermediary relations
LIST OF SERIES. Pathway Advisors Conservative Fund Pathway Advisors Growth and Income Fund Pathway Advisors Aggressive Growth Fund APPENDIX B SERVICES | MEDALLION DISTRIBUTION • Act as legal underwriter/distributor • Maintain and supervise FINRA registrations for licensed individuals • Prepare, update, execute and maintain selling agreements • Provide investment company advertising and sales literature review/approval • Administer intermediary due diligence program • Perform 12b-1 administration and reporting
LIST OF SERIES. Clarkston Partners Fund Clarkston Fund Clarkston Founders Fund Clarkston Select Fund
LIST OF SERIES. YieldQuest Core Equity Fund YieldQuest Total Return Bond Fund Yield Quest Tax-Exempt Bond Fund YieldQuest Flexible Income Fund YieldQuest Low Duration Bond Fund YieldQuest Low Duration Tax-Exempt Bond Fund .
LIST OF SERIES. CSOP FTSE CHINA A50 ETF CSOP MSCI China A International Hedged ETF CSOP China CSI 300 A-H Dynamic ETF
