Compliance Officer Services Agreement Sample Contracts

GOEHRING & ROZENCWAJG INVESTMENT FUNDS CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Compliance Officer Services Agreement • September 28th, 2017 • Goehring & Rozencwajg Investment Funds • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 29, 2016 (the “Effective Date”) by and between Goehring & Rozencwajg Investment Funds (the “Trust”), on behalf of each series of the Trust (each such series and any additional series that may be established by the Trust and made subject to this Agreement are referred to herein individually as a “Fund,” and collectively, the “Funds”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.

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Amendment to Amended and Restated Chief Compliance Officer Services Agreement
Compliance Officer Services Agreement • June 29th, 2015 • Financial Investors Trust

This Amendment dated as of June 29, 2015 (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.

Amended and Restated Chief Compliance Officer Services Agreement
Compliance Officer Services Agreement • January 28th, 2019 • Centre Funds

This Amendment No. 5 (this “Amendment”), dated December 12, 2016, to the Amended and Restated Chief Compliance Officer Services Agreement, dated October 1, 2012, as amended (the “Agreement”), between Centre Asset Management LLC (“Client”), and ALPS Fund Services, Inc. (“ALPS”).

Amendment No. 1 to Chief Compliance Officer Services Agreement
Compliance Officer Services Agreement • July 30th, 2018 • Index Funds

This Amendment No. 1 (this “Amendment”), dated March 2, 2018 to the Chief Compliance Officer Services Agreement (the “Agreement”), dated April 17, 2015, between Index Funds (the “Trust”) and ALPS Fund Services, Inc. (“ALPS”) (each, a “Party” and together ,the “Parties”).

TRANSPARENT VALUE TRUST CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Compliance Officer Services Agreement • March 25th, 2010 • Transparent Value Trust • Delaware

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of __________, 2010 (the “Effective Date”) by and between TRANSPARENT VALUE TRUST, a Delaware statutory trust (the “Trust”), on behalf of each of its series listed in Exhibit A hereto, as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation.

Amendment to Chief Compliance Officer Services Agreement
Compliance Officer Services Agreement • August 28th, 2015 • Financial Investors Trust

This Amendment dated as of June 9, 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.

PRINCIPAL FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Compliance Officer Services Agreement • April 28th, 2023 • Forum Real Estate Income Fund

THIS PRINCIPAL FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (the “Agreement”) is made effective as of April 27th, 2023 (the “Effective Date”), between PINE Advisors LLC, (“PINE”), and Forum Real Estate Income Fund, formerly known as Forum CRE Income Fund (the “Client”). PINE and Client are each referred to herein as a “Party,” and collectively, the “Parties.”

PRINCIPAL FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Compliance Officer Services Agreement • April 27th, 2021 • Forum CRE Income Fund • Colorado

THIS PRINCIPAL FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (the “Agreement”) is made effective as of April 26, 2021, between PINE Advisor Solutions, LLC (“PINE”) and Forum CRE Income Fund (the “Client”).

FINANCIAL INVESTORS TRUST VULCAN VALUE PARTNERS FUND VULCAN VALUE PARTNERS SMALL CAP FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Compliance Officer Services Agreement • August 30th, 2010 • Financial Investors Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 30, 2009 (the “Effective Date”) by and among FINANCIAL INVESTORS TRUST, a Delaware statutory trust (the “Trust”), on behalf of each of its series listed in Exhibit A hereto (each, a “Fund” and together, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, VULCAN VALUE PARTNERS LLC, a Delaware limited liability company (“Vulcan”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation.

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