Common use of ALPS Virtual Access Clause in Contracts

ALPS Virtual Access. The Fund has requested, and ALPS will provide, access to ALPS Virtual Access (“AVA”), an ALPS proprietary platform that provides web-based access to information and data maintained on behalf of the Fund and maintains a complete audit trail of all activity on the site. Through AVA, the Fund may have, based on the third-party services offered under separate contract: (i) shareholder data access, which interfaces with the transfer agency system and allows data retrieval and updates; (ii) Portfolio data access, which provides daily Portfolio and securities detail and permits the Fund to create and save its own customized reports; (iii) access to AdLit, which permits the Fund to submit sales/marketing pieces for review by ALPS’ compliance and tracks the progress of the review; and (iv) links to PolicyIQ, which provides the Fund with access to ALPS’ policies and procedures and also provides the Fund with regulatory updates.

Appears in 9 contracts

Samples: Transfer Agency and Services Agreement (Northeast Investors Growth Fund Inc), Transfer Agency and Services Agreement (Whitebox Mutual Funds), Transfer Agency and Services Agreement (GLG Investment Series Trust)

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ALPS Virtual Access. The Fund Trust has requested, and ALPS will provide, access to ALPS Virtual Access (“AVA”), an ALPS proprietary platform that provides web-based access to information and data maintained on behalf of the Fund and maintains a complete audit trail of all activity on the site. Through AVA, the Fund Trust may have, based on the third-party services offered under separate contract: (i) shareholder data access, which interfaces with the transfer agency system and allows data retrieval and updates; (ii) Portfolio Fund data access, which provides daily Portfolio Fund and securities detail and permits the Fund to create and save its own customized reports; (iii) access to AdLit, which permits the Fund to submit sales/marketing pieces for review by ALPS’ compliance and tracks the progress of the review; and (iv) links to PolicyIQ, which provides the Fund with access to ALPS’ policies and procedures and also provides the Fund with regulatory updates.

Appears in 4 contracts

Samples: Transfer Agency and Services Agreement, Transfer Agency and Services Agreement (Financial Investors Trust), Transfer Agency and Services Agreement (Financial Investors Trust)

ALPS Virtual Access. The Fund has requested, and ALPS will provide, access to ALPS Virtual Access (“AVA”), an ALPS proprietary platform that provides web-based access to information and data maintained on behalf of the Fund and maintains a complete audit trail of all activity on the site. Through AVA, the Fund may have, based on the third-third party services offered under separate contract: (i1) shareholder data access, which interfaces with the transfer agency system and allows data retrieval and updates; (ii2) Portfolio portfolio data access, which provides daily Portfolio portfolio and securities detail and permits the Fund to create and save its own customized reports; (iii3) access to AdLit, which permits the Fund to submit sales/marketing pieces for review by ALPS’ ALPS compliance and tracks the progress of the review; and (iv4) links to PolicyIQ, which provides the Fund with access to ALPS’ policies and procedures and also provides the Fund with regulatory updates.

Appears in 3 contracts

Samples: Transfer Agency (Caldwell & Orkin Funds Inc), Transfer Agency (AQR Funds), Transfer Agency (Cook & Bynum Funds Trust)

ALPS Virtual Access. The Fund Trust has requested, and ALPS will provide, access to ALPS Virtual Access (“AVA”), an ALPS proprietary platform that provides web-based access to information and data maintained on behalf of the Fund Funds and maintains a complete audit trail of all activity on the site. Through AVA, the Fund Funds may have, based on the third-party services offered under separate contract: (i) shareholder data access, which interfaces with the transfer agency system and allows data retrieval and updates; (ii) Portfolio data access, which provides daily Portfolio and securities detail and permits the Fund Funds to create and save its own customized reports; (iii) access to AdLit, which permits the Fund Funds to submit sales/marketing pieces for review by ALPS’s compliance and tracks the progress of the review; and (iv) links to PolicyIQ, which provides the Fund Funds with access to ALPS’s policies and procedures and also provides the Fund Funds with regulatory updates.

Appears in 1 contract

Samples: Transfer Agency and Services Agreement (Financial Investors Trust)

ALPS Virtual Access. The Fund has requested, and ALPS will provide, access to ALPS Virtual Access (“AVA”), an ALPS proprietary platform that provides web-based access to information and data maintained on behalf of the Fund and maintains a complete audit trail of all activity on the site. Through AVA, the Fund may have, based on the third-party services offered under separate contract: (i1) shareholder data access, which interfaces with the transfer agency system and allows data retrieval and updates; (ii2) Portfolio portfolio data access, which provides daily Portfolio portfolio and securities detail and permits the Fund to create and save its own customized reports; (iii3) access to AdLit, which permits the Fund to submit sales/marketing pieces for review by ALPS’ ALPS compliance and tracks the progress of the review; and (iv4) links to PolicyIQ, which provides the Fund with access to ALPS’ policies and procedures and also provides the Fund with regulatory updates.

Appears in 1 contract

Samples: Transfer Agency (Heartland Group Inc)

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ALPS Virtual Access. The Fund has requested, and ALPS will provide, access to ALPS Virtual Access (“AVA”), an ALPS ALPS’s proprietary web-based platform that provides web-based access to information and data maintained on behalf of the Fund and maintains a complete audit trail of all activity on the site. Through AVA, the Fund may have, based on the third-third- party services offered under separate contract: (i) shareholder data access, which interfaces with the transfer agency system and allows data retrieval and updates; (ii) Portfolio data access, which provides daily Portfolio and securities detail and permits the Fund to create and save its own customized reports; (iii) access to AdLit, which permits the Fund to submit sales/marketing pieces for review by ALPS’s compliance and tracks the progress of the review; and (ivii) links to PolicyIQALPS Virtual Policies (AVP), which provides the Fund with access to ALPS’s policies and procedures and also provides the Fund with regulatory updates; and (iii) secure access to transfer agency reports.

Appears in 1 contract

Samples: Transfer Agency and Services Agreement (X-Square Balanced Fund, LLC)

ALPS Virtual Access. The Fund has requested, and ALPS will provide, access to ALPS Virtual Access (“AVA”), an ALPS proprietary platform that provides web-web- based access to information and data maintained on behalf of the Fund and maintains a complete audit trail of all activity on the site. Through AVA, the Fund may have, based on the third-third party services offered under separate contract: (i1) shareholder data access, which interfaces with the transfer agency system and allows data retrieval and updates; (ii2) Portfolio portfolio data access, which provides daily Portfolio portfolio and securities detail and permits the Fund to create and save its own customized reports; (iii3) access to AdLit, which permits the Fund to submit sales/marketing pieces for review by ALPS’ ALPS compliance and tracks the progress of the review; and (iv4) links to PolicyIQ, which provides the Fund with access to ALPS’ policies and procedures and also provides the Fund with regulatory updates.

Appears in 1 contract

Samples: Transfer Agency Interactive Client Services Agreement (Cullen Funds Trust)

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