Common use of APPOINTMENT; DELIVERY OF DOCUMENTS Clause in Contracts

APPOINTMENT; DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints FCS, and FCS hereby agrees, to provide a Chief Compliance Officer (“CCO”), as described in Rule 38a-1 under the 1940 Act (“Rule 38a-1”), for the period and on the terms and conditions set forth in this Agreement. (b) In connection therewith, the Trust has delivered to FCS copies of: (i) the Trust’s Certificate of Incorporation and By-Laws (collectively, as amended from time to time, “Organizational Documents”); (ii) the Trust’s current Registration Statement, as amended or supplemented, filed or to be 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 Trust’s current Prospectus and Statement of Additional Information (collectively, as currently in effect and as amended or supplemented, the “Disclosure Documents”); (iv) any plan of distribution or similar document adopted by the Trust (“Distribution Plan”) and each current shareholder service plan or similar document adopted by the Trust (“Service Plan”); and (v) all policies and procedures adopted by the Trust with respect to the Trust (e.g., valuation procedures), and shall promptly furnish FCS with all amendments of or supplements to the foregoing. The Trust shall deliver to FCS a certified copy of the resolution of the Board of Trustees of the Trust (the “Board”) appointing FCS hereunder and authorizing the execution and delivery of this Agreement.

Appears in 2 contracts

Samples: Compliance Services Agreement (CNL Funds), Compliance Services Agreement (CNL Funds)

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APPOINTMENT; DELIVERY OF DOCUMENTS. (a) The Trust Fund hereby appoints FCS, and FCS hereby agrees, to provide a Chief Compliance Officer (“CCO”), as described in Rule 38a-1 under the 1940 Act Act, as amended (“Rule 38a-1”), for the period and on the terms and conditions set forth in this Agreement. (b) In connection therewith, the Trust Fund has delivered to FCS copies of: (i) the TrustFund’s Certificate Declaration of Incorporation Fund and By-Laws Bylaws (collectively, as amended from time to time, “Organizational Documents”); (ii) the TrustFund’s current Registration Statement, as amended or supplemented, filed or to be 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 TrustFund’s current Prospectus and Statement of Additional Information Information, if any, or Private Offering Memorandum (collectively, as currently in effect and as amended or supplemented, the “Disclosure Documents”); (iv) any plan of distribution or similar document adopted by the Trust Fund (“Distribution Plan”) and each current shareholder service plan or similar document adopted by the Trust Fund (“Service Plan”); and (v) all policies and procedures adopted by the Trust Fund with respect to the Trust Fund (e.g., valuation repurchase agreement procedures), and shall promptly furnish FCS with all amendments of or supplements to the foregoing. The Trust Fund shall deliver to FCS a certified copy of the resolution of the Board of Trustees Directors of the Trust Fund (the “Board”) appointing FCS hereunder and authorizing the execution and delivery of this Agreement.

Appears in 1 contract

Samples: Compliance Services Agreement (Access Capital Strategies Community Investment Fund Inc/Ma)

APPOINTMENT; DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints FCS, and FCS hereby agrees, to provide a Chief Compliance Officer ("CCO"), as described in Rule 38a-1 under the 1940 Act Act, as amended ("Rule 38a-1"), for the period and on the terms and conditions set forth in this Agreement. (b) In connection therewith, the Trust has delivered to FCS copies of: (i) the Trust’s Certificate 's Declaration of Incorporation Trust and By-Laws Bylaws (collectively, as amended from time to time, "Organizational Documents"); (ii) the Trust’s 's current Registration Statement, as amended or supplemented, filed or to be 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 Trust’s 's current Prospectus and Statement of Additional Information of each Fund (collectively, as currently in effect and as amended or supplemented, the "Prospectus" or "SAI", as the case may be, or the "Disclosure Documents"); (iv) any each plan of distribution or similar document adopted by the Trust under Rule 12b-1 under the 1940 Act (“Distribution "Plan") and each current shareholder service plan or similar document adopted by the Trust ("Service Plan"); and (v) all policies and procedures adopted by the Trust with respect to the Trust Funds (e.g., valuation repurchase agreement procedures), and shall promptly furnish FCS with all amendments of or supplements to the foregoing. The Trust shall deliver to FCS a certified copy of the resolution of the Board of Trustees of the Trust (the "Board") appointing FCS hereunder and authorizing the execution and delivery of this Agreement.

Appears in 1 contract

Samples: Compliance Services Agreement (Ironwood Series Trust)

APPOINTMENT; DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints FCS, and FCS hereby agrees, to provide a Chief Compliance Officer ("CCO"), as described in Rule 38a-1 under of the 1940 Act ("Rule 38a-1"), to the Trust for the period and on the terms and conditions set forth in this Agreement. (b) In connection therewithherewith, the Trust has delivered to FCS copies of: (i) the Trust’s Certificate 's Declaration of Incorporation Trust and By-Laws Bylaws (collectively, as amended from time to time, "Organizational Documents"); (ii) the Trust’s 's current Registration Statement, as amended or supplemented, filed or to be 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 Trust’s 's current Prospectus and Statement of Additional Information of each Fund (collectively, as currently in effect and as amended or supplemented, the "Prospectus" or "SAI", as the case may be, or the "Disclosure Documents"); (iv) any each plan of distribution or similar document adopted by the Trust under Rule 12b-1 under the 1940 Act (“Distribution "Plan") and each current shareholder service plan or similar document adopted by the Trust ("Service Plan"); (v) copies of the Fund's current annual and semi-annual reports to shareholders; and (vvi) all policies policies, programs and procedures adopted by the Trust with respect to the Trust Funds (e.g., valuation repurchase agreement procedures), and shall promptly furnish FCS with all amendments of or supplements to the foregoing. The Trust shall deliver to FCS a certified copy of the resolution of the Board of Trustees of the Trust (the "Board") appointing FCS hereunder and authorizing the execution and delivery of this Agreement.

Appears in 1 contract

Samples: Compliance Services Agreement (Forum Funds)

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APPOINTMENT; DELIVERY OF DOCUMENTS. (a) The Trust hereby appoints FCSFFS, and FCS FFS hereby agrees, to provide a Chief Compliance Officer ("CCO"), as described in Rule 38a-1 under the 1940 Act Act, as amended ("Rule 38a-1"), for the period and on the terms and conditions set forth in this Agreement. (b) In connection therewith, the Trust has delivered to FCS FFS copies of: (i) the Trust’s Certificate 's Declaration of Incorporation Trust and By-Laws Bylaws (collectively, as amended from time to time, "Organizational Documents"); (ii) the Trust’s 's current Registration Statement, as amended or supplemented, filed or to be 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 Trust’s 's current Prospectus and Statement of Additional Information of each Fund (collectively, as currently in effect and as amended or supplemented, the "Prospectus" or "SAI", as the case may be, or the "Disclosure Documents"); (iv) any each plan of distribution or similar document adopted by the Trust under Rule 12b-1 under the 1940 Act (“Distribution "Plan") and each current shareholder service plan or similar document adopted by the Trust ("Service Plan"); and (v) all policies and procedures adopted by the Trust with respect to the Trust Funds (e.g., valuation repurchase agreement procedures), and shall promptly furnish FCS FFS with all amendments of or supplements to the foregoing. The Trust shall deliver to FCS FFS a certified copy of the resolution of the Board of Trustees of the Trust (the "Board") appointing FCS FFS hereunder and authorizing the execution and delivery of this Agreement.

Appears in 1 contract

Samples: Compliance Services Agreement (Icm Series Trust)

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