CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • August 9th, 2019 • Broadstone Real Estate Access Fund • New York
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 25, 2018 (the “Effective Date”) by and between Broadstone Real Estate Access Fund, organized as a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • December 30th, 2020 • MSS Series Trust • Ohio
This CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT is made and entered into as of this 30th day of December, 2020 by and between MSS Series Trust, a Ohio business trust (the “Trust”) and Empirical Administration, LLC, a Ohio limited liability company (“Empirical”).
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • May 9th, 2012 • John Hancock Tax-Advantaged Global Shareholder Yield Fund • Massachusetts
THIS AGREEMENT (the “Agreement”) is made as of this 10th day of March, 2009 by and among the trusts listed in Appendix A (the “Trusts”), on behalf of themselves and each of their funds (the “Funds”), John Hancock Investment Management Services, LLC (“JHIMS”) and John Hancock Advisers, LLC (“JHA”) (JHIMS and JHA are collectively referred to as “John Hancock”) and the Trust’s Chief Compliance Officer, Frank Knox (the “CCO).
Exhibit (h)(4) CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this "Agreement") dated July 24, 2007 between TDAX FUNDS, INC. (the "Fund"), and ALPS FUND SERVICES, INC. ("ALPS"), a Colorado corporation. The...Chief Compliance Officer Services Agreement • September 27th, 2007 • TDAX Funds, Inc. • New York
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • June 24th, 2015 • WisdomTree Trust
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT Between WisdomTree Trust and WisdomTree Asset Management, Inc. EXHIBIT C AMENDED as of March 30, 2021 Portfolio Series of the TrustChief Compliance Officer Services Agreement • March 31st, 2021 • WisdomTree Trust
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT Between WisdomTree Trust and WisdomTree Asset Management, Inc EXHIBIT C AMENDED as of , 2013 Portfolio Series of the TrustChief Compliance Officer Services Agreement • July 23rd, 2013 • WisdomTree Trust
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • July 10th, 2018 • Broadstone Real Estate Access Fund • New York
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of (the “Effective Date”) by and between Broadstone Real Estate Access Fund, organized as a Delaware statutory trust (the “Fund”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
FORM OFChief Compliance Officer Services Agreement • December 29th, 2009 • Financial Investors Trust • Colorado
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated , 200 between , a corporation (“CLIENT”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this Agreement is , 200 .
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated April 17, 2009 between EGA Emerging Global Shares Trust, a Delaware statutory trust (“CLIENT”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of...Chief Compliance Officer Services Agreement • November 6th, 2009 • EGA Emerging Global Shares Trust • Colorado
In a joint effort between CLIENT and ALPS to ensure that CLIENT, (consisting of the following portfolios: Emerging Global Shares Dow Jones Emerging Markets Titans Composite Index Fund, Emerging Global Shares Dow Jones Emerging Markets Basic Materials Titans Index Fund, Emerging Global Shares Dow Jones Emerging Markets Metals & Mining Titans Index Fund, Emerging Global Shares Dow Jones Emerging Markets Consumer Goods Titans Index Fund, Emerging Global Shares Dow Jones Emerging Markets Consumer Services Titans Index Fund, Emerging Global Shares Dow Jones Emerging Markets Energy Titans Index Fund, Emerging Global Shares Dow Jones Emerging Markets Financials Titans Index Fund, Emerging Global Shares Dow Jones Emerging Markets Health Care Titans Index Fund, Emerging Global Shares Dow Jones Emerging Markets Industrials Titans Index Fund, Emerging Global Shares Dow Jones Emerging Markets Technology Titans Index Fund, Emerging Global Shares Dow Jones Emerging Markets Telecommunications Titans
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT Between WisdomTree Trust and WisdomTree Asset Management, Inc. EXHIBIT C AMENDED as of August 29, 2019 Portfolio Series of the TrustChief Compliance Officer Services Agreement • August 29th, 2019 • WisdomTree Trust
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT Between WisdomTree Trust and WisdomTree Asset Management, Inc. EXHIBIT C AMENDED as of December 10, 2015 Portfolio Series of the TrustChief Compliance Officer Services Agreement • January 5th, 2016 • WisdomTree Trust
ContractChief Compliance Officer Services Agreement • January 26th, 2012 • SPDR S&p Midcap 400 Etf Trust • New York
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement”) dated October 5, 2004 between PDR SERVICES LLC, a Delaware limited liability company (“PDR”), and ALPS MUTUAL FUNDS SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this Agreement is October 5, 2004.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT Between WisdomTree Trust and WisdomTree Asset Management, Inc EXHIBIT C AMENDED as of December 5, 2013 Portfolio Series of the TrustChief Compliance Officer Services Agreement • December 13th, 2013 • WisdomTree Trust
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT Between WisdomTree Trust and WisdomTree Asset Management, Inc. EXHIBIT C AMENDED as of May 10, 2017 Portfolio Series of the TrustChief Compliance Officer Services Agreement • May 11th, 2017 • WisdomTree Trust
AMENDMENT TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • January 29th, 2018 • ALPS Series Trust
This Amendment dated as of January 1, 2018 (this “Amendment”) is to the Chief Compliance Officer Services Agreement dated December 9, 2013, as amended (the “Agreement”), by and between ALPS Series Trust (the “Trust”), organized as a Delaware statutory trust, on behalf of the Insignia Macro Fund (the “Fund”), a series of the Trust, and ALPS Fund Services, Inc. a Colorado corporation (“ALPS”).
SECOND AMENDMENT TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • April 23rd, 2010 • EGA Emerging Global Shares Trust
THIS AMENDMENT, dated as of March 2, 2010, entered into by and among EGA Emerging Global Shares Trust, a Delaware statutory trust (“CLIENT”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation, modifies the Chief Compliance Officer Services Agreement, dated as of April 17, 2009, as amended on November 12, 2009, by and between CLIENT and ALPS (the “Agreement”).
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • June 25th, 2021 • John Hancock Financial Opportunities Fund • Massachusetts
THIS AGREEMENT (the “Agreement”) is made as of this 30th day of June, 2020 by and among the trusts listed in Appendix A (the “Trusts”), on behalf of themselves and each of their funds (the “Funds”), John Hancock Investment Management LLC (formerly, John Hancock Advisers, LLC) (“John Hancock”) and the Trust’s Chief Compliance Officer, Frank Knox (the “CCO”).
ARCHER INVESTMENT SERIES TRUST AMENDMENT TO THE CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • October 13th, 2020 • Archer Investment Series Trust
THIS AMENDMENT, effective as of December 1, 2019, dated the 8th day of October, 2020 to the Chief Compliance Officer Services Agreement, dated as of November 1, 2017 (the “Agreement”), is entered into by and between ARCHER INVESTMENT SERIES TRUST, an Ohio business trust (the “Trust”), and EMPIRICAL ADMINISTRATION, LLC, an Ohio limited liability company (“Empirical”).
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • July 16th, 2010 • Hancock John Tax Exempt Series Fund • Massachusetts
THIS AGREEMENT (the “Agreement”) is made as of this 10th day of March, 2009 by and among the trusts listed in Appendix A (the “Trusts”), on behalf of themselves and each of their funds (the “Funds”), John Hancock Investment Management Services, LLC (“JHIMS”) and John Hancock Advisers, LLC (“JHA”) (JHIMS and JHA are collectively referred to as “John Hancock”) and the Trust’s Chief Compliance Officer, Frank Knox (the “CCO”).
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT Between WisdomTree Trust and WisdomTree Asset Management, Inc. EXHIBIT C AMENDED as of June 26, 2017 Portfolio Series of the TrustChief Compliance Officer Services Agreement • June 26th, 2017 • WisdomTree Trust
WisdomTree Dividend ex-Financials Fund (effective June 30 this fund will be known as the WisdomTree U.S. Dividend ex-Financials Fund)
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT AMENDMENT NO. 1Chief Compliance Officer Services Agreement • January 28th, 2020 • ALPS Series Trust
This amendment (the “Amendment”) between the parties signing below (“Parties”) is entered into on October 17, 2019 and amends the Existing Agreement retroactively as described herein:
Amendment to Amended and Restated Chief Compliance Officer Services AgreementChief Compliance Officer Services Agreement • May 1st, 2013 • Financial Investors Trust
This Amendment dated as of May 1, 2013 (this “Amendment”) is to the Amended and Restated Chief Compliance Officer Services Agreement dated December 13, 2011, as amended (the “Agreement”), by and between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”) and Financial Investors Trust, a Delaware statutory trust (the “Trust”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT Between WisdomTree Trust and WisdomTree Asset Management, Inc. EXHIBIT C AMENDED as of March 23, 2016 Portfolio Series of the TrustChief Compliance Officer Services Agreement • April 4th, 2016 • WisdomTree Trust
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT Between WisdomTree Trust and WisdomTree Asset Management, Inc. EXHIBIT C AMENDED as of May 17, 2019 Portfolio Series of the TrustChief Compliance Officer Services Agreement • May 17th, 2019 • WisdomTree Trust
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT Between WisdomTree Trust and WisdomTree Asset Management, Inc EXHIBIT C AMENDED as of October 18, 2013 Portfolio Series of the TrustChief Compliance Officer Services Agreement • October 25th, 2013 • WisdomTree Trust
AMENDMENT TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • January 26th, 2012 • SPDR S&p Midcap 400 Etf Trust
This Amendment (the “Amendment”) to the Chief Compliance Officer Service Agreement between ALPS Fund Services, Inc. (“ALPS”) and PDR Services LLC (“PDR”), as sponsor for the MidCap SPDR Trust, Series 1 (“Trust”), dated October 5, 2004 (the “Agreement”) is made as of this 1st day of October, 2009.
ContractChief Compliance Officer Services Agreement • January 11th, 2007 • HealthShares (TM) Inc. • New York
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement”) dated October 31st, 2006 between HEALTHSHARES, INC. (the “Fund”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this Agreement is December 1st, 2006.
TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • March 15th, 2013 • EGA Emerging Global Shares Trust
THIS AMENDMENT, dated as of [ ], 2013, entered into by and among EGA Emerging Global Shares Trust, a Delaware statutory trust (“CLIENT”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation, modifies the Chief Compliance Officer Services Agreement, dated as of April 17, 2009, as amended from time to time by and between CLIENT and ALPS (the “Agreement”).
TRANSPARENT VALUE TRUST AMENDMENT TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • May 6th, 2014 • Transparent Value Trust
WHEREAS, ALPS and the Trust have entered into a Chief Compliance Officer Services Agreement dated April 1, 2010, as amended January 28, 2011, June 11, 2012, January 28, 2013 and January 28, 2014 (the “Agreement”);
FIFTH AMENDMENT TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • May 30th, 2013 • EGA Emerging Global Shares Trust
THIS AMENDMENT, dated as of October 12, 2012, entered into by and among EGA Emerging Global Shares Trust, a Delaware statutory trust (“CLIENT”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation, modifies the Chief Compliance Officer Services Agreement, dated as of April 17, 2009, as amended from time to time by and between CLIENT and ALPS (the “Agreement”).
Exhibit (h)(4)(c) TRANSPARENT VALUE TRUST AMENDMENT TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • May 19th, 2014 • Transparent Value Trust
WHEREAS, ALPS and the Trust have entered into a Chief Compliance Officer Services Agreement dated April 1, 2010, as amended January 28, 2011, June 11, 2012, January 28, 2013, January 28, 2014 and April 28, 2014 (the “Agreement”);
AMENDMENT TO CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • April 26th, 2016 • ALPS Series Trust
This Amendment dated as of April 26, 2016 (this “Amendment”) is to the Chief Compliance Officer Services Agreement dated September 8, 2015 (the “Agreement”), by and between ALPS Series Trust (the “Trust”), organized as a Delaware statutory trust, on behalf of the funds listed in Exhibit A hereto, as may be amended from time to time (the “Funds”), each a series of the Trust, and ALPS Fund Services, Inc. a Colorado corporation (“ALPS”).
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT dated July 1, 2022 (this “Agreement) between WISDOMTREE DIGITAL TRUST (the “Trust”), and WISDOMTREE DIGITAL MANAGEMENT, INC. (“WTDM”)Chief Compliance Officer Services Agreement • July 7th, 2022 • WisdomTree Digital Trust • New York
In an effort to ensure that the Trust is in compliance with Rule 38a-l (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), WTDM has agreed to render services to the Trust on behalf of each portfolio series of the Trust (each such series, a “Fund”) for which WTDM also serves as investment adviser.
Amendment to Chief Compliance Officer Services AgreementChief Compliance Officer Services Agreement • June 9th, 2015 • Financial Investors Trust
This Amendment dated as of _______________, 2015 (this “Amendment”) is to the Chief Compliance Officer Services Agreement dated March 16, 2012, as amended (the “Agreement”), by and between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”) and Financial Investors Trust, a Delaware statutory trust (the “Trust”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.
