FINANCIAL INVESTORS TRUST TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • February 26th, 2016 • Financial Investors Trust • Colorado
THIS AGREEMENT is made as of March 16, 2012, between Financial Investors Trust, organized as a Delaware statutory trust under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
ALPS ADVISORS, INC.Financial Investors Trust • February 26th, 2016
This letter confirms the agreement by ALPS Advisors, Inc. (the “Adviser”) and Kotak Mahindra (UK) Limited (the “Sub-Adviser”) and the Trust with respect to the Fund.
ALPS ADVISORS, INC.Financial Investors Trust • February 26th, 2016
This letter confirms the agreement by ALPS Advisors, Inc. (the “Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” and “Other Expenses” that it is entitled to receive from the Fund. To the extent the Total Annual Fund Operating Expenses (as defined in Item 3 to Form N-1A), after such expense reimbursement and/or fee waiver (exclusive of distribution and service (12b-1) fees, shareholder services fees, acquired fund fees and expenses, brokerage commissions, taxes and extraordinary expenses) exceed 0.85% for each of the Class A, Class C and Class I shares of the Fund, the Adviser will reduce the fee payable with respect to the Fund to the extent of such excess and/or shall reimburse the Fund (or class as applicable) by the amount of such excess. The waiver or reimbursement shall be allocated to each class of the Fund in the same manner as the underlying expenses or fees were allocated.
ALPS ADVISORS, INC.Financial Investors Trust • February 26th, 2016
This letter confirms ALPS Advisors, Inc.’s (the “Adviser”) agreement with the Trust to contractually limit the total amount of the “Advisory Fee” and “Other Expenses” that it is entitled to receive from the Fund.
ALPS FUND SERVICES, INC.Alps Fund Services • February 26th, 2016 • Financial Investors Trust
This letter confirms the agreement between ALPS Fund Services, Inc. (“ALPS”) and the Trust that ALPS’ Annual Open Account Fee, Annual Inactive Account Fee and Annual Closed Account Fee, as set forth in Schedule B (Fee Schedule) of the Transfer Agency and Service Agreement between ALPS and the Trust, dated October 1, 2007, as amended, with respect to the Fund (the “Agreement”), shall be reduced as follows for the period beginning September 1, 2015 through August 31, 2017:
ALPS ADVISORS, INC.Financial Investors Trust • February 26th, 2016
This letter confirms the agreement of ALPS Advisors, Inc. (the “Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” and “Other Expenses” that it is entitled to receive from the Fund.
ALPS ADVISORS, INC.Financial Investors Trust • February 26th, 2016
This letter confirms the agreement of ALPS Advisors, Inc. (the “Adviser”) and Red Rocks Capital LLC (the “Sub-Adviser”) with the Trust to contractually limit the total amount of the “Management Fees” and “Other Expenses” that they are entitled to receive from the Fund.
