Services as Administrator. (a) Subject to the direction and control of the Trust’s Board of Trustees and utilizing information provided by the Trust and its current and prior agents and service providers, the Administrator will provide the services listed on Schedule B hereto. The duties of the Administrator shall be confined to those expressly set forth therein, and no implied duties are assumed by or may be asserted against the Administrator hereunder.
Services as Administrator. (a) Subject to the direction and control of the Corporation's Board of Directors and utilizing information provided by the Corporation and its agents, the Administrator will: (1) provide office space, facilities, equipment and personnel to carry out its services hereunder; (2) compile data for and prepare with respect to the Funds timely Notices to the Securities and Exchange Commission (the "Commission") required pursuant to Rule 24f-2 under the 1940 Act and Semi-Annual Reports on Form N-SAR; (3) assist in the preparation for execution by the Corporation and file all federal income and excise tax returns and state income tax returns (and such other required tax filings as may be agreed to by the parties) other than those required to be made by the Corporation's custodian or transfer agent, subject to review and approval of the Corporation and the Corporation's independent accountants; (4) prepare the financial statements for the Annual and Semi-Annual Reports required pursuant to Section 30(d) under the 1940 Act; (5) assist the Corporation's legal counsel in the preparation of the Registration Statement for the Corporation (on Form N-1A or any replacement therefor) and any amendments thereto; (6) determine and periodically monitor each Fund's income and expense accruals and cause all appropriate expenses to be paid from Corporation assets on proper authorization from the Corporation; (7) calculate daily net asset values and income factors of each Fund; (8) maintain all general ledger accounts and related subledgers; (9) perform security valuations; (10) assist in the acquisition of the Corporation's fidelity bond required by the Act, monitor the amount of the bond and make the necessary Commission filings related thereto; (11) from time to time as the Administrator deems appropriate, check each Fund's compliance with the policies and limitations of each Fund relating to the portfolio investments as set forth in the Prospectus and Statement of Additional Information and monitor each Fund's status as a regulated investment company under Subchapter M of the Internal Revenue Code of 1986, as amended (but these functions shall not relieve the Corporation's investment adviser and sub-advisers, if any, of their primary day-to-day responsibility for assuring such compliance); (12) maintain, and/or coordinate with the other service providers the maintenance of, the accounts, books and other documents required pursuant to Rule 31a-1(a) and (b) under the 1940 Act; (...
Services as Administrator. Subject to the supervision and direction of the Board, SBFM will: (a) assist in supervising all aspects of the Fund's operations except those performed by the Fund's investment adviser under its investment advisory agreement; (b) supply the Fund with office facilities (which may be in SBFM's own offices), statistical and research data, data processing services, clerical, accounting and bookkeeping services, including, but not limited to, the calculation of (i) the net asset value of shares of the Fund, (ii) applicable contingent deferred sales charges and similar fees and charges and (iii) distribution fees, internal auditing and legal services, internal executive and administrative services, and stationary and office supplies; and (c) prepare Board materials, reports to shareholders of the Fund, tax returns and reports to and filings with the Securities and Exchange Commission (the "SEC") and state blue sky authorities.
Services as Administrator. Subject to the supervision and direction of the Board of Trustees, Sierra Administration is responsible for all administrative functions with respect to the Trust and will (a) assist in supervising all aspects of the operations of the Trust except those performed by the investment adviser and sub-advisers under their respective investment management and sub-advisory agreements; (b) supply the Trust with office facilities (which may be in Sierra Administration's own offices, statistical and research data, data processing services, clerical, accounting and bookkeeping services (including, but not limited to, the calculation of the net asset value of shares of the Trust), internal auditing and legal services, internal executive and administrative services, and stationery and office supplies; (c) prepare reports to the Trust's shareholders and materials for the Board of Trustees; (d) prepare tax returns; (e) prepare reports to and filings with the Securities and Exchange Commission and state regulatory authorities; (f) cooperate with the Trust's transfer agent for the purpose of establishing and implementing procedures to ensure that the Trust's transfer agency and shareholder relations functions are efficiently carried out; and (g) provide such other similar services as the Trust may reasonably request to the extent permitted under application statutes, rules and regulations. The services to be performed by Sierra Administration hereunder may be delegated by it, in whole or in part, to a sub-administrator provided that any delegation of duties to the sub-administrator shall not relieve Sierra Administration of its responsibilities hereunder. Notwithstanding anything to the contrary in this Agreement, Sierra Administration shall not be responsible for the performance of any duties which are required to be performed by the Trust's transfer agent.
Services as Administrator. Subject to the direction and control of the Board of Trustees of the Trust, ALPS will: (a) assist in maintaining office facilities (which may be in the offices of ALPS or a corporate affiliate but shall be in such location as the Trust and ALPS shall reasonably determine); (b) furnish clerical services and stationery and office supplies; (c) compile data for and prepare with respect to the Funds timely Notices to the Securities and Exchange Commission required pursuant to Rule 24f-2 under the Investment Company Act of 1940 (the "1940 Act") and Semi-Annual Reports on Form N-SAR; (d) prepare compliance filings pursuant to state securities laws with the advice of the Trust's counsel; (e) assist to the extent requested by the Portfolios with the preparation of Annual and Semi-Annual Reports to the Portfolios' shareholders and Registration Statements for the Portfolios (on Form N-1A or any replacement therefor); (f) monitor the Portfolios' expense accruals and pay all expenses on proper authorization from the Portfolios; (g) monitor the Portfolios' status as a regulated investment company under Subchapter M of the Internal Revenue Code of 1986, as amended from time to time; (h) maintain the Trust's fidelity bonds as required by the 1940 Act; (i) on a monthly basis, monitor compliance with the policies and limitations of each Portfolio as set forth in the Prospectus, Statement of Additional Information, Code of Regulations and Declaration of Trust; and (j) generally assist in the Portfolio's operations; (k) perform fund accounting and pricing as set out in the "Bookkeeping and Pricing Agreement"; (l) perform Transfer Agency as set out in the "Transfer Agency Agreement" and 800-line servicing; (m) coordinate the external audit and tax work performed by an independent accounting firm determined by ALPS; (n) coordinate the printing of the Prospectus, Semi-Annual Report, Annual Report, and the Statement of Additional Information for existing shareholders; and (o) act as principal underwriter and distributor of the Portfolios' securities pursuant to a Distribution Agreement. In compliance with the requirements of Rule 31a-3 under the 1940 Act, ALPS hereby agrees that all records which it maintains for each Portfolio are the property of the Trust and further agrees to surrender promptly to the Trust any of such records upon the Trust's request. ALPS further agrees to preserve for the periods prescribed by Rule 31a-2 under the 1940 Act the records required to be mainta...
Services as Administrator. Subject to the direction and control of the Board of Trustees, Administrator will: (a) assist in maintaining office facilities (which may be in the offices of Administrator or a corporate affiliate but shall be in such location as the Trust and Administrator shall reasonably determine); (b) furnish clerical services and stationery and office supplies; (c) compile data for, prepare and file with respect to the Funds timely notices to the Securities and Exchange Commission required pursuant to Rule 24f-2 under the Investment Company Act of 1940, as amended (the “1940 Act”), and Semi-Annual Reports on Form N-SAR; (d) coordinate execution and filing by the Funds’ independent accountant of all federal and state tax returns and required tax filings other than those required to be made by the Funds’ custodian; (e) assist to the extent requested by the Funds with the Funds’ preparation of Annual and Semi-Annual Reports to the Funds’ shareholders and Registration Statements for the Trust (on Form N-1A or any replacement therefor); (f) monitor the Funds’ expense accruals and pay all expenses on proper authorization from each Fund; (g) on a monthly basis, monitor the Funds’ status as a regulated investment company under Subchapter M of the Internal Revenue Code of 1986, as amended from time to time; (h) maintain the Funds’ fidelity bond as required by the 1940 Act; (i) on a monthly basis, monitor compliance with the policies and limitations of the Funds as set forth in the Prospectus and Statement of Additional Information; and (j) generally assist in the Funds’ operations; In compliance with the requirements of Rule 31a-3 under the 1940 Act, Administrator hereby agrees that all records which it maintains for the Funds are the property of the Funds and further agrees to surrender promptly to the Funds any of such records upon the Funds’ request. Administrator further agrees to preserve for the periods prescribed by Rule 31a-2 under the 1940 Act the records required to be maintained by Rule 31a-1 under the 1940 Act.
Services as Administrator. 440 Financial hereby accepts its appointment as administrator for the Funds, and agrees to provide services hereunder subject to the direction and control of Galaxy's Board of Trustees. With respect to each Fund, 440 Financial agrees to: compute the net asset value of Galaxy's Funds and the net income available for dividends in accordance with Galaxy's current Prospectuses, the Statement of Additional Information and the resolutions of the Board of Trustees; furnish statistical and research data, clerical, accounting and bookkeeping services, and stationery and office supplies; provide internal auditing and legal services and internal executive and administrative services; prepare those portions of Galaxy's semi-annual reports to the Securities and Exchange Commission on Form N-SAR that pertain to each Fund, and coordinate and file such reports; compile data for and prepare for execution by Galaxy those portions of Galaxy's Federal and state tax returns and required tax filings that pertain to each Fund and file such returns and filings when completed (other than those filings required to be made by Galaxy's custodian and transfer agent); prepare compliance filings pursuant to state securities laws with the advice of Galaxy's counsel; prepare those portions of Galaxy's Annual and Semi-Annual Reports to shareholders that pertain to each Fund, and coordinate and file such reports; compile data for, prepare, and file timely notices to the Securities and Exchange Commission required with respect to the registration of each Fund's shares pursuant to Rule 24f-2 under the 1940 Act; arrange for and bear the cost of processing purchase and redemption orders with respect to each Fund's shares; keep and maintain the Funds' financial accounts and records; monitor Galaxy's arrangements with respect to services provided by certain institutional shareholders (herein called "Service Organizations") to their customers, who are the beneficial owners of any class of Galaxy's shares of beneficial interest (including any series or sub-class thereof), pursuant to agreements between Galaxy and such Service Organizations (herein called "Servicing Agreements"), including, among other things, reviewing the qualifications of Service Organizations wishing to enter into Servicing Agreements with Galaxy, assisting in the execution and delivery of the Servicing Agreements, reporting to the Board of Trustees with respect to the amounts paid or payable by Galaxy from time to time under th...
Services as Administrator. BISYS shall perform for the Trust the management and administrative services set forth in Schedule B hereto (collectively, the “Services”); provided, however, that the parties acknowledge and agree that the Services to be provided hereunder on behalf of the Money Market ProFund (or any other Feeder Fund (as defined below)) shall be limited to those that are necessary and appropriate for a money market or short-term fixed income registered investment company (each a “Feeder Fund”) that invests all of its assets in a separate, unaffiliated registered investment company (each such separate unaffiliated registered investment company, a “Master Portfolio”). In that connection, the parties agree that BISYS shall bear no responsibility for the provision of any Services to any Master Portfolio in which the Money Market ProFund may invest its assets, unless such Master Portfolio is a Fund. BISYS may provide such other services as may be reasonably requested by the Trust, which may result in an additional fee, the amount of which shall be mutually agreed upon by the parties. BISYS agrees to perform the Services described herein in accordance with the service standards set forth in Schedule C attached hereto and in accordance with any additional operating procedures that may be mutually agreed upon by the parties hereto. BISYS’ agreement to perform the relevant Services in accordance with and otherwise comply with the provisions set forth in Schedule C is subject to the various provisions of this Agreement relevant to the performance of Services. Except as expressly provided herein (including in Schedule C), the service standards shall not be used in the construction of the parties’ rights and obligations generally under this Agreement, and any failure by BISYS to meet a particular deadline or other requirement set forth in Schedule C shall not be construed as an admission or as a waiver of any rights of BISYS generally under this Agreement. BISYS shall, for all purposes herein, be deemed to be an independent contractor and, other than as expressly provided or authorized (as directed by the Board or as provided herein), shall have no authority to act for or represent the Trust in any way and shall not be deemed an agent of the Trust. BISYS may, in its discretion and at its expense, utilize agents in connection with its Services, and in addition may appoint in writing other parties qualified to perform management and administrative services reasonably acceptable to th...
Services as Administrator. Subject to the supervision and direction of the Board of Directors of the Company, SBAM will (a) assist in supervising all aspects of the Funds' operations except those performed by the Funds' Adviser under their investment advisory agreements; (b) supply the Funds with office facilities (which may be SBAM's own offices) for providing its services under this agreement, statistical and research data, data processing services, clerical, accounting and bookkeeping services, including but not limited to, the calculation of the net asset value of shares of the Funds, the calculation of applicable contingent deferred sales charges and similar fees and charges, the calculation of distribution fees, internal auditing and legal services, internal executive and administrative services, and stationary and office supplies; and (c) prepare Board materials reports to the shareholders of the Funds, tax returns and reports to and filings with the Securities and Exchange Commission and state blue sky authorities.
Services as Administrator. Subject to the supervision and direction of the Board, the Administrator shall (a) assist in supervising all aspects of the Fund’s operations except those performed by the Administrator under its Investment Advisory Agreement with the Company on behalf of the Fund; (b) supply the Fund with office facilities (which may be in the Administrator’s own offices), statistical and research data, data processing services, clerical, accounting and bookkeeping services, including, but not limited to, the calculation of (i) the net asset value of shares of the Fund, (ii) any applicable contingent deferred sales charges and similar fees and charges and (iii) distribution fees, internal auditing and legal services, internal executive and administrative services, and stationery and office supplies; and (c) prepare reports to shareholders of the Fund, tax returns and reports to and filings with the Securities and Exchange Commission (the “SEC”) and state Blue Sky authorities.
