Common Contracts

31 similar Chief Compliance Officer Services Agreement contracts by ALPS Series Trust, Financial Investors Trust, Clough Funds Trust, others

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief 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.

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CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • October 1st, 2018 • XAI Octagon Floating Rate & Alternative Income Term Trust

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 26, 2017 (the “Effective Date”) by and between XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.

ALPS SERIES TRUST AMERICAN INDEPENDENCE FUNDS CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • September 25th, 2018 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 24, 2018 (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), 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.

ALPS SERIES TRUST SEVEN CANYONS STRATEGIC INCOME FUND SEVEN CANYONS WORLD INNOVATORS FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • September 11th, 2018 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 10, 2018 (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), 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.

ALPS SERIES TRUST AMERICAN INDEPENDENCE FUNDS CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • June 13th, 2018 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of [May __, 2018] (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), 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.

ALPS SERIES TRUST SEVEN CANYONS STRATEGIC INCOME FUND SEVEN CANYONS WORLD INNOVATORS FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • May 24th, 2018 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of [May __, 2018] (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), 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.

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • December 12th, 2017 • Harvest Volatility Edge Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of November 17, 2017 (the “Effective Date”) by and between Harvest Volatility Edge Trust (the “Trust”), on behalf of the Funds offered by the Trust (each a “Fund”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.

ALPS SERIES TRUST BEACON ACCELERATED RETURN STRATEGY FUND BEACON PLANNED RETURN STRATEGY FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • September 29th, 2017 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of October 2, 2017 (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), 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.

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • September 25th, 2017 • XAI Octagon Floating Rate & Alternative Income Term Trust

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of , 2017 (the “Effective Date”) by and between XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • February 28th, 2017 • Elevation ETF Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of March 30; 2016 (the “Effective Date”) by and between Elevation ETF Trust (the “Trust”) and each Fund offered by the Trust (each a “Fund” and collectively the “Funds”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.

FINANCIAL INVESTORS TRUST AMENDED AND RESTATED CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • April 15th, 2016 • Financial Investors Trust • Colorado

This Amended and Restated Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of April 15, 2016 (the “Effective Date”) by and between Financial Investors Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and together, the “Funds”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • March 31st, 2016 • Elevation ETF Trust

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of March __, 2016 (the “Effective Date”) by and between Elevation ETF Trust (the “Trust”) and each Fund offered by the Trust (each a “Fund” and collectively the “Funds”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • February 26th, 2016 • Clough Funds Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 30, 2015 (the “Effective Date”) by and between Clough Funds Trust (the “Trust”), a Delaware statutory trust, and each Fund offered by the Trust (each a “Fund”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • September 23rd, 2015 • Clough Funds Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of _______________, 2015 (the “Effective Date”) by and between Clough Funds Trust (the “Trust”), a Delaware statutory trust, and each Fund offered by the Trust (each a “Fund”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • April 17th, 2015 • Index Funds • Colorado

THIS AGREEMENT is made as of April 17, 2015 (the “Effective Date”) between Index Funds (the “Trust”), statutory trust organized under the laws of the State of Delaware, on behalf of the series listed in Appendix A hereto (the “Fund”).

ALPS SERIES TRUST VALSPRESSO GREEN ZONE SELECT™ TACTICAL FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • February 27th, 2015 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of February 27, 2015 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), 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.

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated December 16, 2014 between REALITY SHARES ETF TRUST, a Delaware statutory trust (the “Trust”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of...
Chief Compliance Officer Services Agreement • December 18th, 2014 • Reality Shares ETF Trust • Colorado

In a joint effort between the Trust and ALPS to ensure that the Trust is in compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), ALPS has agreed to render services to the Trust by entering into a formal agreement with respect thereto effective from and after the Effective Date.

ALPS SERIES TRUST NEW SHERIDAN DEVELOPING WORLD FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • August 29th, 2014 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of August 29, 2014 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), 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.

ALPS SERIES TRUST RIVERSIDE FRONTIER MARKETS FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • February 24th, 2014 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of February 24, 2014 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), 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.

FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated , between REALITY SHARES ETF TRUST, a Delaware statutory trust (the “Trust”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this...
Chief Compliance Officer Services Agreement • February 7th, 2014 • Reality Shares ETF Trust • Colorado

In a joint effort between the Trust and ALPS to ensure that the Trust is in compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), ALPS has agreed to render services to the Trust by entering into a formal agreement with respect thereto effective from and after the Effective Date.

ALPS SERIES TRUST INSIGNIA MACRO FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • December 19th, 2013 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 9, 2013 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), 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.

ALPS SERIES TRUST CRYSTAL STRATEGY ABSOLUTE INCOME FUND CRYSTAL STRATEGY ABSOLUTE RETURN FUND CRYSTAL STRATEGY LEVERAGED ALTERNATIVE FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • December 16th, 2013 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 16, 2013 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), 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.

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Contract
Chief Compliance Officer Services Agreement • November 25th, 2013 • Broadview Funds Trust • Colorado

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated November 29, 2013 between BROADVIEW FUNDS TRUST, a Delaware statutory trust (the “Trust”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this Agreement is December 2, 2013.

ALPS SERIES TRUST GKE ASIAN OPPORTUNITIES FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • July 31st, 2013 • ALPS Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of July 30, 2013 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (the “Fund”), 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.

FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement”) between ALPS ETF TRUST, a Delaware statutory trust (the “Trust”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this Agreement is , 2013.
Chief Compliance Officer Services Agreement • May 24th, 2013 • ALPS ETF Trust • Colorado

In a joint effort between the Trust and ALPS to ensure that the Barron’s 400 ETF, a series of the Trust (the “Fund”), is in compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), ALPS has agreed to render services to the Trust on behalf of the Fund by entering into a formal agreement with respect thereto effective from and after the Effective Date.

FINANCIAL INVESTORS TRUST CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • August 28th, 2012 • Financial Investors Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of March 16, 2012 (the “Effective Date”) by and between FINANCIAL INVESTORS TRUST, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (the “Fund”), 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.

FINANCIAL INVESTORS TRUST GRANDEUR PEAK GLOBAL OPPORTUNITIES FUND GRANDEUR PEAK INTERNATIONAL OPPORTUNITIES FUNDS AMENDED AND RESTATED CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • August 28th, 2012 • Financial Investors Trust • Colorado

This Amended and Restated Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 13, 2011 (the “Effective Date”) by and between FINANCIAL INVESTORS TRUST, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (the “Funds”), 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.

FINANCIAL INVESTORS TRUST ASPEN MANAGED FUTURES STRATEGY FUND AMENDED AND RESTATED CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • August 28th, 2012 • Financial Investors Trust • Colorado

This Amended and Restated Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 13, 2011 (the “Effective Date”) by and between FINANCIAL INVESTORS TRUST, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (the “Fund”), 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.

FINANCIAL INVESTORS TRUST PATHWAY ADVISORS CONSERVATIVE FUND PATHWAY ADVISORS GROWTH AND INCOME FUND PATHWAY ADVISORS AGGRESSIVE GROWTH FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • July 24th, 2012 • Financial Investors Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of July 24, 2012 (the “Effective Date”) by and between FINANCIAL INVESTORS TRUST, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (the “Funds”), 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.

WAKEFIELD ALTERNATIVE SERIES TRUST CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT
Chief Compliance Officer Services Agreement • June 21st, 2012 • Wakefield Alternative Series Trust • Colorado

This Chief Compliance Officer Services Agreement (this “Agreement) is effective May 22, 2012 (the “Effective Date”), by and between WAKEFIELD ALTERNATIVE SERIES TRUST, a Delaware statutory trust (the “Trust”), on behalf of each of its series listed in Exhibit A, attached hereto, as such Exhibit may be modified from time to time by written agreement of the parties (each, a “Fund”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation.

CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated September 8, 2009 (the “Effective Date”) between Reaves Utility Income Fund (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
Chief Compliance Officer Services Agreement • May 17th, 2012 • Reaves Utility Income Fund • Colorado

In a joint effort between the Trust and ALPS to ensure the Trust is in compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), ALPS has agreed to render services to the Trust by entering into a formal agreement with respect thereto effective from and after the Effective Date.

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