APPOINTMENT AND DELIVERY OF DOCUMENTS. (a) The Trust, on behalf of each Fund listed in Schedule A, hereby appoints GFS to provide administrative services for the Trust as described hereinafter, as administrator of the Trust for the period and on the terms set forth in this Agreement. GFS accepts such appointment and agrees to furnish the services herein set forth in return for the compensation as provided in Section 3 of this Agreement.
(b) In connection therewith the Trust has delivered to GFS copies of:
(i) the Trust's Agreement, Declaration of Trust and Bylaws (collectively, as amended from time to time, "Organizational Documents");
(ii) the Trust's Registration Statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act of 1933, as amended ("Securities Act"), and the 1940 Act ("Registration Statement");
(iii) the Trust’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Trust's current Prospectus and Statement of Additional Information for each Fund (collectively, as currently in effect and as amended or supplemented, the "Prospectus");
(v) the current plan of distribution adopted by the Trust under Rule 12b-1 under the 1940 Act ("Plan"); and
(vi) procedures adopted by the Trust in accordance with Rule 17a-7 under the 1940 Act with respect to affiliated transactions.
(c) The Trust shall promptly furnish GFS with all amendments of or supplements to the items listed in Section 1(b), and shall deliver to GFS a certified copy of the resolution of the Board of Trustees of the Trust ("Board") appointing GFS and authorizing the execution and delivery of this Agreement.
APPOINTMENT AND DELIVERY OF DOCUMENTS. 2. DUTIES OF GFS 3. FEES AND EXPENSES
APPOINTMENT AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints Adviser as investment adviser of the Trust and each Fund for the period and on the terms set forth in this Agreement. Adviser accepts such appointment and agrees to render the services herein set forth, for the compensation herein provided.
(b) The Trust has delivered, or will delivery within 45 days, to the Adviser copies of the Trust’s Trust Instrument and Bylaws (collectively, as amended from time to time, “Organic Documents”). The Adviser has delivered, or will deliver within 45 days, to the Trust a copy of its code of ethics complying with the requirements of Rule 17j-1 under the 1940 Act (the “Code”). The Adviser shall promptly furnish the Trust with all material amendments of or supplements to the Code and shall furnish the Trust with all updated versions of the Code at least annually.
APPOINTMENT AND DELIVERY OF DOCUMENTS. 2. DUTIES OF GFS
APPOINTMENT AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints the Adviser as investment adviser of the Trust and each Fund for the period and on the terms set forth in this Agreement. The Adviser accepts such appointment and agrees to render the services herein set forth, for the compensation herein provided.
(b) The Trust will deliver to the Adviser copies of the Trust’s Trust Instrument and Bylaws (collectively, as amended from time to time, the “Governing Documents”). The Adviser will deliver to the Trust a copy of its code of ethics complying with the requirements of Rule 17j-1 under the 1940 Act (the “Code”). The Adviser shall promptly furnish the Trust with all material amendments of or supplements to the Code and shall furnish the Trust with all updated versions of the Code at least annually.
APPOINTMENT AND DELIVERY OF DOCUMENTS. (a) The Corporation hereby appoints GFS, and GFS hereby agrees, to act as administrator of the Corporation for the period and on the terms set forth in this Agreement.
(b) In connection therewith, the Corporation has delivered to GFS copies of:
(i) the Corporation’s Articles of Incorporation and Bylaws (collectively, as amended from time to time, “Organizational Documents”);
(ii) the Corporation’s Registration Statement on Form N-1A and all amendments thereto filed with the U.S. Securities and Exchange Commission (“SEC”) pursuant to the Securities Act of 1933, as amended (the “Securities Act”), or the 1940 Act (the “Registration Statement”);
(iii) the Corporation’s notification of registration under the 1940 Act on Form N-8A as filed with the SEC;
(iv) the Corporation's current Prospectus and Statement of Additional Information for each Fund (collectively, as currently in effect and as amended or supplemented, the "Prospectus");
(v) each current plan of distribution or similar document adopted by the Corporation under Rule 12b-1 under the 1940 Act (“Plan”) and each current shareholder service plan or similar document adopted by the Corporation (“Service Plan”), and
APPOINTMENT AND DELIVERY OF DOCUMENTS. (a) The Adviser hereby appoints the Sub-Adviser to act as a sub-adviser for each Fund, subject to the supervision and oversight of the Adviser and the Trustees, and in accordance with the terms and conditions of this Agreement. As sub-adviser to each Fund, the Sub-Adviser will perform certain of the day-to-day operations of the Funds, including the day-to-day trading, rebalancing and cash management of each Fund's assets. The Sub-Adviser will manage the investment and reinvestment of the assets of the Funds and determine the composition of the assets of the Funds in accordance with the terms of this Agreement and the relevant Fund's currently effective registration statement of the Trust under the Securities Act of 1933 (the "1933 Act"), and the 1940 Act, and any amendments or supplements thereto (the "Registration Statement"). The Sub-Adviser hereby accepts such employment and agrees during such period to render the services and assume the obligations herein set forth for the compensation herein provided. The Sub-Adviser shall, for all purposes herein, be deemed to be an independent contractor, and shall, unless otherwise expressly provided and authorized, have no authority to act for or to represent the Adviser, the Trust or a Fund in any way, or in any way be deemed an agent of the Adviser, the Trust or a Fund. The Sub-Adviser shall regularly make decisions as to what securities to purchase and sell on behalf of each Fund and shall record and implement such decisions and shall furnish the Adviser and the Board with such information and reports regarding the Funds' investments as the Sub-Adviser deems appropriate or as the Adviser or the Board may reasonably request.
(b) The Trust will deliver to the Adviser copies of the Trust's Trust Instrument and Bylaws (collectively, as amended from time to time, "Governing Documents"). The Sub-Adviser will deliver to the Adviser and the Trust a copy of its code of ethics complying with the requirements of Rule 17j-1 under the 1940 Act (the "Code"). The Sub-Adviser shall promptly furnish the Adviser and the Trust with all material amendments of or supplements to the Code and shall furnish the Adviser and the Trust with all updated versions of the Code at least annually.
APPOINTMENT AND DELIVERY OF DOCUMENTS. (a) The Client hereby appoints PINE, and XXXX hereby agrees, to provide: an employee of PINE acceptable to the Board of Directors of the Client (the “Board”) to serve as the Client’s Principal Financial Officer (“PFO”), each for the period and on the terms and conditions set forth in this Agreement.
(b) In connection therewith, the Client has delivered to PINE copies of, and shall promptly furnish PINE with all amendments of or supplements to: (i) the Client’s Certificate of Fund, Agreement and Declaration of Fund and Bylaws (collectively, as amended from time to time, “Organizational Documents”); (ii) the Client’s current Registration Statement, as amended or supplemented, filed with the U.S. Securities and Exchange Commission (“SEC”) pursuant to the Securities Act of 1933, as amended (the “Securities Act”), and the 1940 Act (the “Registration Statement”); (iii) the Client’s current Prospectus and Statement of Additional Information (collectively, as currently in effect and as amended or supplemented, the “Prospectus”); (iv) each plan of distribution or similar document that may be adopted by the Client under Rule 12b-1 under the 1940 Act and each current shareholder service plan or similar document adopted by the Client; and (v) all compliance policies, programs and procedures adopted by the Client. The Client shall deliver to PINE a certified copy of the resolution of the Board appointing the PFO hereunder and authorizing the execution and delivery of this Agreement. In addition, the Client shall deliver, or cause to deliver, to PINE upon PINE’s reasonable request any other documents that would enable PINE to perform the services described in this Agreement.
APPOINTMENT AND DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints Adviser as investment adviser for the Funds for the period and on the terms set forth in this Agreement. Adviser accepts this appointment and agrees to render its services as investment adviser for the compensation set forth herein.
(b) The Trust has delivered copies of each of the following documents and will from time to time furnish Adviser with any supplements or amendments to such documents:
(i) the Trust Instrument of the Trust, as filed with the Secretary of State of the State of Delaware, as in effect on the date hereof and as amended from time to time ("Trust Instrument");
(ii) the Bylaws of the Trust as in effect on the date hereof and as amended from time to time ("Bylaws");
(iii) the Registration Statement under the Act and, if applicable, the Securities Act of 1933 (the "Securities Act"), as filed with the Securities and Exchange Commission (the "Commission"), relating to the Fund and its shares and all amendments thereto ("Registration Statement"); 106
(iv) the prospectus and statement of additional information relating to the Fund ("Prospectus"); and,
(v) all proxy statements, reports to shareholders, advertising or other materials prepared for distribution to shareholders of the Fund or the public, that refer to Adviser or its clients. The Trust shall furnish Adviser with any further documents, materials or information that Adviser may reasonably request to enable it to perform its duties pursuant to this Agreement.
APPOINTMENT AND DELIVERY OF DOCUMENTS. (a) Intending to be legally bound, the Adviser, with the approval of the Trust, hereby appoints the Sub-Adviser to act as investment adviser to the Fund for the period and on the terms set forth in this Agreement. Intending to be legally bound, the Sub-Adviser accepts such appointment and agrees to furnish the services herein set forth for the compensation herein provided.
(b) The Sub-Adviser acknowledges that it has received copies of the Trust's most recent prospectuses and statements of additional information with respect to the Fund.
