] SHARESFirst Trust/Gallatin Specialty Finance & Financial Opportunities Fund • May 24th, 2007 • New York
WITNESSETH:Subscription Agreement • May 24th, 2007 • First Trust/Gallatin Specialty Finance & Financial Opportunities Fund
CUSTODIAN SERVICES AGREEMENT THIS AGREEMENT is made as of April 20, 2007 by and between PFPC TRUST COMPANY, a limited purpose trust company incorporated under the laws of Delaware ("PFPC Trust"), and FIRST TRUST/GALLATIN SPECIALTY FINANCE AND...Custodian Services Agreement • May 24th, 2007 • First Trust/Gallatin Specialty Finance & Financial Opportunities Fund
TRANSFER AGENCY SERVICES AGREEMENT THIS AGREEMENT is made as of May 25, 2007 by and between PFPC INC., a Massachusetts corporation ("PFPC"), FIRST TRUST/GALLATIN SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND, a Massachusetts business trust (the...Transfer Agency Services Agreement • May 24th, 2007 • First Trust/Gallatin Specialty Finance & Financial Opportunities Fund
ADMINISTRATION AND ACCOUNTING SERVICES AGREEMENT THIS AGREEMENT is made as of May 25, 2007 by and between PFPC INC., a Massachusetts corporation ("PFPC"), FIRST TRUST/GALLATIN SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND, a Massachusetts...Administration and Accounting Services Agreement • May 24th, 2007 • First Trust/Gallatin Specialty Finance & Financial Opportunities Fund
BLANKET BOND INSURANCE AGREEMENT THIS AGREEMENT is made as of the 14th day of July, 2016, by and among the investment companies listed in Appendix A (collectively referred to herein as the "Funds"), First Trust Advisors L.P. (the "Advisor") and First...Blanket Bond Insurance Agreement • July 14th, 2016 • First Trust Specialty Finance & Financial Opportunities Fund
FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND UP TO 1,400,000 COMMON SHARES OF BENEFICIAL INTEREST CAPITAL ON DEMAND(TM) SALES AGREEMENTFirst Trust Specialty Finance & Financial Opportunities Fund • February 23rd, 2015 • New York
Investment Sub-Advisory Agreement Agreement made as of this 24th day of May, 2007 by and among First Trust/Gallatin Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), First Trust Advisors L.P., an Illinois...Sub-Advisory Agreement • May 24th, 2007 • First Trust/Gallatin Specialty Finance & Financial Opportunities Fund • Illinois
WITNESSETH:Investment Management Agreement • February 11th, 2015 • First Trust Specialty Finance & Financial Opportunities Fund • Illinois
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 3rd day of January, 2011, by and among First Trust Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), First Trust Advisors L.P., an Illinois...Sub-Advisory Agreement • February 11th, 2015 • First Trust Specialty Finance & Financial Opportunities Fund • Illinois
Execution Copy COMMITTED FACILITY AGREEMENT BNP PARIBAS PRIME BROKERAGE INC. ("BNPP PB, INC.") and the counterparty specified on the signature page ("CUSTOMER"), hereby enter into this Committed Facility Agreement (this "AGREEMENT"), dated as of the...Committed Facility Agreement • February 11th, 2015 • First Trust Specialty Finance & Financial Opportunities Fund • New York
WITNESSETH:Investment Management Agreement • May 24th, 2007 • First Trust/Gallatin Specialty Finance & Financial Opportunities Fund • Illinois
INTERIM INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 12th day of October, 2010 by and among First Trust Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), First Trust Advisors L.P., an...Interim Investment Sub-Advisory Agreement • January 31st, 2011 • First Trust Specialty Finance & Financial Opportunities Fund • Illinois
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 3rd day of January, 2011, by and among First Trust Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), First Trust Advisors L.P., an Illinois...Sub-Advisory Agreement • July 27th, 2011 • First Trust Specialty Finance & Financial Opportunities Fund • Illinois
WITNESSETH:Investment Management Agreement • January 31st, 2011 • First Trust Specialty Finance & Financial Opportunities Fund • Illinois
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 24th day of May, 2007 by and among First Trust/Gallatin Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), First Trust Advisors L.P., an Illinois...Sub-Advisory Agreement • July 30th, 2007 • First Trust/Gallatin Specialty Finance & Financial Opportunities Fund • Illinois
AMENDMENT AGREEMENTAmendment Agreement • February 11th, 2015 • First Trust Specialty Finance & Financial Opportunities Fund • New York
SECOND AMENDMENT AGREEMENTSecond Amendment Agreement • January 23rd, 2015 • First Trust Specialty Finance & Financial Opportunities Fund • New York
CUSTODIAN SERVICES AGREEMENTS This document relates to the assignment of each of the Custodian Services Agreements set forth on Schedule A, as each such agreement has been amended (each, an "Agreement"), by BNY Mellon Investment Servicing Trust...Custodian Services Agreements • February 11th, 2015 • First Trust Specialty Finance & Financial Opportunities Fund
This document relates to the assignment of each of the Custodian Services Agreements set forth on Schedule A, as each such agreement has been amended (each, an "Agreement"), by BNY Mellon Investment Servicing Trust Company (formerly, PFPC Trust Company) ("Trust Company") to The Bank of New York Mellon ("BNY Mellon"). In connection with the assignment of each of the Agreements by Trust Company to BNY Mellon, BNY Mellon agrees that on and after September 12, 2011, BNY Mellon will be bound by the terms of the Agreement, including expressly the covenants made by Trust Company in the Agreements prior to the assignment of the Agreements to BNY Mellon.
THIRD AMENDMENT AGREEMENT AMENDMENT AGREEMENT ("AMENDMENT") dated as of October 21, 2013 to the Committed Facility Agreement, including Appendix B thereto, dated February 2, 2010 between BNP Paribas Prime Brokerage, Inc. ("BNPP PB, INC.") and First...Third Amendment Agreement • January 23rd, 2015 • First Trust Specialty Finance & Financial Opportunities Fund • New York
INTERIM INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 1st day of October, 2007 by and among First Trust/Gallatin Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), First Trust Advisors L.P.,...Interim Investment Sub-Advisory Agreement • January 29th, 2008 • First Trust/Gallatin Specialty Finance & Financial Opportunities Fund • Illinois
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 24th day of May, 2007, by and between FIRST TRUST/GALLATIN SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND, a Massachusetts business trust (the "Fund"), and FIRST TRUST...Investment Management Agreement • July 30th, 2007 • First Trust/Gallatin Specialty Finance & Financial Opportunities Fund
Exhibit 77 Q(1) INTERIM INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 29th day of July, 2008 by and among First Trust/Gallatin Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), First Trust...Interim Investment Sub-Advisory Agreement Agreement • January 29th, 2009 • First Trust Specialty Finance & Financial Opportunities Fund • Illinois
INTERIM INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 29th day of July, 2008 by and among First Trust/Gallatin Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), First Trust Advisors L.P., an Illinois limited partnership (the "Manager") and a registered investment adviser with the Securities and Exchange Commission ("SEC"), and Confluence Investment Management LLC, a Delaware limited liability company and a registered investment adviser with the SEC (the "Sub-Adviser"). WHEREAS, the Fund is a closed-end management investment company registered under the Investment Company Act of 1940, as amended (the "1940 Act"); WHEREAS, the Fund has retained the Manager to serve as the investment manager for the Fund pursuant to an Investment Management Agreement between the Manager and the Fund (as such agreement may be modified from time to time, the "Management Agreement"); WHEREAS, the Management Agreement provides that the Manager may,
