Compliance Services Agreement Sample Contracts
COMPLIANCE SERVICES AGREEMENT AGREEMENT dated as of October 5, 2004, amended January 1, 2007, among Touchstone Strategic Trust, Touchstone Investment Trust, Touchstone Tax-Free Trust, each a Massachusetts business trust, and Touchstone Funds Group...Compliance Services Agreement • August 1st, 2008 • Touchstone Strategic Trust • Ohio
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • December 28th, 2018 • Mutual Fund & Variable Insurance Trust • New York
This Compliance Services Agreement (the “Agreement”) is dated as of April 16, 2016 (the “Effective Date”), between Mutual Fund and Variable Insurance Trust, a Delaware statutory trust, (the “Trust”) and MFund Services LLC, a Delaware limited liability company with a principal place of business at 36 North New York Avenue, Huntington, NY 11743 (“MFund”).
Exhibit (h)(7) COMPLIANCE SERVICES AGREEMENT AGREEMENT effective as of the 27th day of September, 2004, between Coventry Group (the "Trust"), a Massachusetts business trust having its principal place of business at 3435 Stelzer Road, Columbus, Ohio...Compliance Services Agreement • July 27th, 2007 • Coventry Group • Ohio
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • December 24th, 2008 • Allstate Financial Investment Trust • Delaware
AGREEMENT made as of March 20, 2008 by and between Allstate Financial Investment Trust, with its principal office and place of business at 3100 Sanders Road, Suite J5, Northbrook, Illinois 60062 (the “Fund”), and Foreside Compliance Services, LLC, a Delaware limited liability company with its principal office and place of business at Two Portland Square, Portland, Maine 04101 (“FCS”).
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • April 30th, 2025 • Spinnaker ETF Series
THIS AGREEMENT is made and entered into this 1st day of June 2020 (the “Effective Date”), as amended March 13, 2025, by and between THE NOTTINGHAM COMPANY, a North Carolina corporation, (“TNC”), and SPINNAKER ETF SERIES, a Delaware statutory trust, (“Trust”), on behalf of each of its series included in Appendix A.
COMPLIANCE SERVICES AGREEMENT AGREEMENT dated as of October 5, 2004, amended January 1, 2007, among Touchstone Strategic Trust, Touchstone Investment Trust, Touchstone Tax-Free Trust, each a Massachusetts business trust, and Touchstone Funds Group...Compliance Services Agreement • October 31st, 2008 • Touchstone Tax Free Trust • Ohio
COMPLIANCE SERVICES AGREEMENT AGREEMENT effective as of the 22nd day of June, 2004, between HSBC Investor Funds Trust, HSBC Advisor Funds Trust, and HSBC Investor Portfolios, (each, a "Trust," and collectively, the "Trust"), each of which is a...Compliance Services Agreement • December 14th, 2005 • HSBC Advisor Funds Trust • Ohio
NOMURA PARTNERS FUNDS, INC. SECOND AMENDED AND RESTATED COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • January 28th, 2010 • Nomura Partners Funds, Inc. • Delaware
AMENDED AND RESTATED AGREEMENT executed the 31st day of December 2009 by and among Nomura Partners Funds, Inc., a Maryland corporation, on behalf of each of its series, with its principal office and place of business at 4 Copley Place, 5th floor, CPH-0326, Boston, MA 02116 (the “Client”), and Foreside Compliance Services, LLC (“FCS”) and Foreside Management Services, LLC (“FMS”), each of which is a Delaware limited liability company with a principal office and place of business at Three Canal Plaza, Suite 100, Portland, Maine 04101 (collectively, “Foreside”). The effective date of this Agreement shall be October 29, 2009 or such other date mutually agreed upon by the Client and Foreside (the “Effective Date”).
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • March 2nd, 2007 • Greenwich Advisors Trust • New York
This Compliance Services Agreement (the “Agreement”) is dated as of March 1, 2007 (the “Effective Date”), between Greenwich Advisors Trust (the “Company”), a trust, and BISYS Fund Services Ohio, Inc. (“BISYS”), an Ohio corporation.
AMENDED AND RESTATED COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • April 27th, 2023 • Allianz Variable Insurance Products Fund of Funds Trust • Minnesota
This Amended and Restated Agreement is made effective as of the 1st day of January, 2023, by and among ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST (the “VIP Trust”), a Delaware statutory trust (formerly known as a Delaware business trust), ALLIANZ VARIABLE INSURANCE PRODUCTS FUND OF FUNDS TRUST (the “FOF Trust,” and together with the VIP Trust, the “VA Trusts”), a Delaware statutory trust (formerly known as a Delaware business trust), and AIM ETF PRODUCTS TRUST (“ETF Trust”; together with the VA Trusts, the “Trusts”), a Delaware statutory trust, and ALLIANZ INVESTMENT MANAGEMENT LLC (“AIM”), a Minnesota limited liability company.
Form of COMPLIANCE SERVICES AGREEMENT Growth Capital Portfolio, LLC Growth Capital TEI Portfolio, LLC and Growth Capital Master Portfolio, LLC, and Citi Fund Services Ohio, Inc.Compliance Services Agreement • June 1st, 2009 • Growth Capital Portfolio, LLC • Ohio
THIS COMPLIANCE SERVICES AGREEMENT is made on May __, 2009, by and between Growth Capital Portfolio, LLC, Growth Capital TEI Portfolio, LLC and Growth Capital Master Portfolio, LLC, each a limited liability company organized under the laws of Delaware, (each a "Client" and collectively "Clients" or the "Client") and Citi Fund Services Ohio, Inc., an Ohio corporation with its primary place of business at 3435 Stelzer Road, Columbus, Ohio 43219 ("Service Provider" and, with each Client, "Parties").
ContractCompliance Services Agreement • August 28th, 2012 • Capstone Series Fund Inc • Texas
AMENDED AND RESTATED COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • August 25th, 2023 • Strategy Shares • New York
This Amended and Restated Compliance Services Agreement (the “Agreement”) is dated as of June 24, 2022 (the “Effective Date”), between Strategy Shares, a Delaware statutory trust (the “Trust”) and MFund Services LLC, a Delaware limited liability company with a principal place of business at 36 North New York Avenue, Huntington, NY 11743 (“MFund”).
AMENDED AND RESTATED COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • July 29th, 2022 • AIM ETF Products Trust • Minnesota
This Amended and Restated Agreement is made effective as of the 1st day of January, 2022, by and among ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST (the “VIP Trust”), a Delaware statutory trust (formerly known as a Delaware business trust), ALLIANZ VARIABLE INSURANCE PRODUCTS FUND OF FUNDS TRUST (the “FOF Trust,” and together with the VIP Trust, the “VA Trusts”), a Delaware statutory trust (formerly known as a Delaware business trust), and AIM ETF PRODUCTS TRUST (“ETF Trust”; together with the VA Trusts, the “Trusts”), a Delaware statutory trust, and ALLIANZ INVESTMENT MANAGEMENT LLC (“AIM”), a Minnesota limited liability company.
FIRST AMENDMENT TO THE COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • July 29th, 2009 • RidgeWorth Funds
This first amendment made as of May 1, 2008 to the Compliance Services Agreement dated as of October 1, 2004 (the “Agreement”), by and among the STI Classic Funds, the STI Classic Variable Trust , each a Massachusetts business trust (each a “Trust”) and BISYS Fund Services Ohio, Inc., an Ohio corporation (“BISYS”).
FUND CCO AND AMLO AGREEMENTCompliance Services Agreement • April 16th, 2020 • Siren ETF Trust • Delaware
AGREEMENT made as of April 8, 2020 by and between Siren ETF Trust a Delaware statutory trust with its principal office and place of business at 2600 Philmont Avenue, Huntingdon Valley, PA 19006 (the “Fund Company”), and Foreside Fund Officer Services, LLC, a Delaware limited liability company, with its principal office and place of business at Three Canal Plaza, Portland, Maine 04101 (“Foreside”).
AMENDMENT TO COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • October 31st, 2006 • Hirtle Callaghan Trust
THE CNL FUNDS COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • April 30th, 2009 • CNL Funds • Delaware
AGREEMENT made as of the 12th of March, 2007 by and between The CNL Funds (the “Trust”), a Delaware statutory trust, with its principal office and place of business 450 South Orange Avenue, Orlando, FL 32801.and Foreside Compliance Services, LLC, a Delaware limited liability company with its principal office and place of business at Two Portland Square, Portland, Maine, 04101 (“FCS”).
AMENDED AND RESTATED COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • April 28th, 2020 • Allianz Variable Insurance Products Fund of Funds Trust • Minnesota
This Amended and Restated Agreement is made effective as of the 19th day of February, 2020, by and among ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST (the “VIP Trust”), a Delaware statutory trust (formerly known as a Delaware business trust), ALLIANZ VARIABLE INSURANCE PRODUCTS FUND OF FUNDS TRUST (the “FOF Trust,” and together with the VIP Trust, the “VA Trusts”), a Delaware statutory trust (formerly known as a Delaware business trust), and AIM ETF PRODUCTS TRUST (“ETF Trust”; together with the VA Trusts, the “Trusts”), a Delaware statutory trust, and ALLIANZ INVESTMENT MANAGEMENT LLC (“AIM”), a Minnesota limited liability company.
Confidential Compliance Services AgreementCompliance Services Agreement • July 27th, 2020 • New Jersey
THIS COMPLIANCE SERVICES AGREEMENT (“Agreement”) is entered into by and between ComplyTraq, LLC (“ComplyTraq”) a Delaware limited liability company, with its principal place of business at 1640 Airport Road, Suite 115, Kennesaw, GA 30144 and the party electronically accepting the within terms and conditions (“Customer”).
AMENDED AND RESTATED COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • April 24th, 2013 • Allianz Variable Insurance Products Fund of Funds Trust • Minnesota
This Amended and Restated Agreement is made as of the 10th day of October, 2012, by and among ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST (the “VIP Trust”), a Delaware business trust, ALLIANZ VARIABLE INSURANCE PRODUCTS FUND OF FUNDS TRUST (the “FOF Trust,” and together with the VIP Trust, the “Trusts”), a Delaware business trust, and ALLIANZ INVESTMENT MANAGEMENT LLC (“AIM LLC”), a Minnesota limited liability company.
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • August 28th, 2009 • First Funds • Ohio
AGREEMENT effective as of the 1st day of August, 2007, as amended and restated August 20, 2008, between First Funds (formerly known as Legacy Funds Group) (the “Trust”), a Massachusetts business trust having its principal place of business at 3435 Stelzer Road, Columbus, Ohio 43219, and CITI FUND SERVICES OHIO, INC. (“Citi”), an Ohio corporation having its principal place of business at 3435 Stelzer Road, Columbus, Ohio 43219.
AMENDED AND RESTATED COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • February 27th, 2009 • HSBC Investor Funds • Ohio
AMENDED AND RESTATED AGREEMENT effective as of the 1st day of January, 2009, between HSBC Investor Funds Trust, HSBC Advisor Funds Trust, and HSBC Investor Portfolios, (each, a “Trust,” and collectively, the “Trust”), each of which is a Massachusetts business trust having its principal place of business at 3435 Stelzer Road, Columbus, Ohio 43219, and CITI FUND SERVICES OHIO, INC., formerly known as BISYS Fund Services Ohio, Inc. (“Citi”), an Ohio corporation having its principal place of business at 3435 Stelzer Road, Columbus, Ohio 43219.
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • August 26th, 2016 • Capstone Series Fund Inc
AGREEMENT dated as of April 1, 2016 (the “Effective Date”) among Capstone Church Capital Fund (the “Church Fund”), a statutory trust organized under the laws of Delaware, Capstone Series Fund, Inc. (“CSF”), a corporation organized under the laws of Maryland, Steward Funds, Inc. (“Steward Funds”; together with the Church Fund and CSF, the “Funds”), a corporation organized under the laws of Maryland, CFS consulting services, LLC (“CFS”), a limited liability company organized under the laws of Texas, and Cipperman Compliance Services, LLC (“CCS”), a Pennsylvania limited liability company.
i-COMPLIANCE SERVICES AGREEMENT AGREEMENT dated as of October 5, 2004 among The James Advantage Funds (the "Trust"), an Ohio business trust, James Investment Research Inc. (the "Adviser"), an Ohio corporation, and Integrated Fund Services, Inc....Compliance Services Agreement • September 2nd, 2005 • James Advantage Funds • Ohio
FIRST AMENDMENT TO THE COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • May 29th, 2009 • RidgeWorth Funds
This first amendment made as of May 1, 2008 to the Compliance Services Agreement dated as of October 1, 2004 (the “Agreement”), by and among the STI Classic Funds, the STI Classic Variable Trust , each a Massachusetts business trust (each a “Trust”) and BISYS Fund Services Ohio, Inc., an Ohio corporation (“BISYS”).
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • July 2nd, 2024 • Catalyst Strategic Income Opportunities Fund
This Compliance Services Agreement (the “Agreement”) is dated as of April 30, 2024 (“Effective Date”), between Catalyst Strategic Income Opportunities Fund, a Delaware statutory trust, (the “Fund”) and MFund Services LLC, a Delaware limited liability company with a principal place of business at 36 North New York Avenue, Huntington, NY 11743 (“MFund”).
Exhibit 23 (h-9) COMPLIANCE SERVICES AGREEMENT AGREEMENT effective as of the 1st day of July, 2006, between PACIFIC CAPITAL FUNDS (the "Trust"), a Massachusetts business trust having its principal place of business at 3435 Stelzer Road, Columbus, Ohio...Compliance Services Agreement • November 28th, 2006 • Pacific Capital Funds • Ohio
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • June 28th, 2010 • Capstone Series Fund Inc • Texas
CAPSTONE ASSET MANAGEMENT COMPANY ("CAMCO"), a Delaware corporation having its principal place of business in Houston, Texas; and
AMENDED AND RESTATED COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • February 5th, 2015 • Allianz Variable Insurance Products Fund of Funds Trust • Minnesota
This Amended and Restated Agreement is made effective as of the 1st day of July, 2014, by and among ALLIANZ VARIABLE INSURANCE PRODUCTS TRUST (the “VIP Trust”), ALLIANZ VARIABLE INSURANCE PRODUCTS FUND OF FUNDS TRUST (the “FOF Trust,” and together with the VIP Trust, the “Trusts”), each a Delaware business trust, and ALLIANZ INVESTMENT MANAGEMENT LLC (“AIM”), a Minnesota limited liability company.
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • November 9th, 2023 • Wisconsin
This Compliance Services Agreement (“Agreement”), dated November 9, 2023 is entered into between Municipal Electric Utilities of Wisconsin, Inc. (“MEUW”), a nonprofit corporation organized under Wisconsin law, and the City of Kaukauna, a political subdivision of the State of Wisconsin (“Client”).
APPENDIX A COMPLIANCE SERVICES AGREEMENT SERIES OF THE TRUSTCompliance Services Agreement • March 26th, 2024 • Spinnaker ETF Series
COMPLIANCE SERVICES AGREEMENTCompliance Services Agreement • July 29th, 2025 • Hawaiian Tax-Free Trust
AGREEMENT dated as of September 1, 2024 (the “Effective Date”) by and between Hawaiian Tax-Free Trust (the “Trust”), a Massachusetts business trust, and Chenery Compliance Group (“CCG”), a Delaware limited liability company.
FEE AMENDMENTCompliance Services Agreement • April 25th, 2023 • Monetta Trust
This amendment to the Compliance Services Agreement (the "Agreement'') dated as of November 19th,2012 by and between the Monetta Trust (collectively the "Client'') and Adviser Compliance Associates, LLC doing business as ACA Group, or its affiliate, ("ACA") is entered into as of March 1, 2023 (the "Effective Date"). Except for the fees listed below, all of the provisions of the Agreement shall remain unamended and in full force and effect to the same extent as if fully set forth herein.
HIRTLE CALLAGHAN TRUST COMPLIANCE SERVICES AGREEMENT Appendix A Funds of the Trust Effective as of November 3, 2008Compliance Services Agreement • October 15th, 2008 • Hirtle Callaghan Trust