DELIVERY OF DOCUMENTS TO THE ADVISER. The Sub-Adviser has furnished, and in the future will furnish, the Adviser with true, correct and complete copies of each of the following documents:
(a) The Sub-Adviser's most recent Form ADV;
(b) The Sub-Adviser's most recent balance sheet; and
(c) The current Code of Ethics of the Sub-Adviser, adopted pursuant to Rule 17j-1 under the 1940 Act, and annual certifications regarding compliance with such Code. In addition, the Sub-Adviser will furnish the Adviser with (i) a summary of the results of any future examination of the Sub-Adviser by the Commission or other regulatory agency with respect to the Sub-Adviser's activities hereunder; and (ii) copies of its policies and procedures adopted pursuant to Rule 206(4)-7 under the Advisers Act. The Sub-Adviser will furnish the Adviser with all such documents as soon as practicable after such documents become available to the Sub-Adviser, to the extent that such documents have been changed materially. The Sub-Adviser shall furnish the Adviser with any further documents, materials or information as the Adviser may reasonably request in connection with Sub-Adviser's performance of its duties under this Agreement, including, but not limited to, information regarding the Sub-Adviser's financial condition, level of insurance coverage and any certifications or sub-certifications which may reasonably be requested in connection with Fund registration statements, Form N-CSR filings or other regulatory filings, and which are appropriately limited to Sub-Adviser's responsibilities under this Agreement.
DELIVERY OF DOCUMENTS TO THE ADVISER. The Trust has furnished the Adviser with true, correct and complete copies of the following documents:
(a) The Declaration of Trust, as in effect on the date hereof;
(b) The Registration Statement filed with the Commission under the 1940 Act and the Securities Act; and
(c) Written guidelines, policies and procedures adopted by the Trust. The Trust will furnish the Adviser with all future amendments and supplements to the foregoing as soon as practicable after such documents become available. The Trust shall furnish the Adviser with any further documents, materials or information that the Adviser may reasonably request in connection with the performance of its duties hereunder.
DELIVERY OF DOCUMENTS TO THE ADVISER. The Sub-SubAdviser has furnished the SubAdviser with true, accurate and complete copies of the following:
(a) The Sub-SubAdviser’s Form ADV as filed with the Commission, as of the date hereof;
(b) Separate lists of persons who the Sub-SubAdviser wishes to have authorized to give written and oral instructions to custodian(s) of the Fund; and
(c) The Code of Ethics of the Sub-SubAdviser, as in effect on the date hereof. The Sub-SubAdviser will furnish the SubAdviser from time to time with copies, properly certified or otherwise authenticated, of all amendments of or supplements to the foregoing.
DELIVERY OF DOCUMENTS TO THE ADVISER. The Sub-Adviser has furnished the Adviser with copies of each of the following documents:
(a) The Sub-Adviser's current Form ADV and any amendments thereto, if applicable;
(b) The Sub-Adviser's most recent audited balance sheet;
(c) Separate lists of persons whom the Sub-Adviser wishes to have authorized to give written and/or oral instructions to the custodian and the fund accounting agent of Trust assets for the Fund; and
(d) The Code of Ethics of the Sub-Adviser as currently in effect. The Sub-Adviser will furnish the Adviser from time to time with copies, properly certified or otherwise authenticated, of all material amendments of or supplements to the foregoing, if any. Additionally, the Sub-Adviser will provide to the Adviser such other documents relating to its services under this Agreement as the Adviser may reasonably request on a periodic basis. Such amendments or supplements as to items (a) through (d) above will be provided within 30 days of the time such materials became available to the Sub-Adviser.
DELIVERY OF DOCUMENTS TO THE ADVISER. The Sub-Adviser has furnished the Adviser with copies of each of the following documents:
(a) The Sub-Adviser’s current Form ADV and any amendments thereto, if applicable;
(b) The Sub-Adviser’s most recent audited balance sheet, which may be provided via the consolidated balance sheet for IGM Financial, Inc.;
(c) Separate lists of persons whom the Sub-Adviser wishes to have authorized to give written and/or oral instructions to the fund accounting agent of Trust assets for the Fund;
(d) The Business Conduct Policy and/or the Code of Ethics of the Sub-Adviser as currently in effect; and
(e) The Sub-Adviser’s compliance policies and procedures adopted pursuant to Rule 206(4)-7 under the Investment Adviser Act of 1940 (the “Adviser Act”). The Sub-Adviser will furnish the Adviser from time to time with copies, properly certified or otherwise authenticated, of all material amendments of or supplements to the foregoing, if any. Additionally, the Sub-Adviser will provide to the Adviser such other documents relating to its services under this Agreement as the Adviser may reasonably request on a periodic basis. Such amendments or supplements as to items (a) through (d) above will be provided within 30 days of the time such materials became available to the Sub-Adviser.
DELIVERY OF DOCUMENTS TO THE ADVISER. (a) The Sub-Adviser has furnished the Adviser with copies of each of the following documents:
(i) The Sub-Adviser’s current Form ADV, Part 1 and Part 2, and any amendments thereto, if applicable;
(ii) Separate lists of individuals whom the Sub-Adviser wishes to have authorized to give written and/or oral instructions to the fund accounting agent of Trust assets for the Multi-Asset Segment;
(iii) The Business Conduct Policy and/or the Code of Ethics of the Sub-Adviser as currently in effect; and
(iv) The Sub-Adviser’s compliance policies and procedures adopted pursuant to Rule 206(4)-7 under the Investment Adviser Act of 1940, as amended.
(b) The Sub-Adviser will provide to the Adviser (i) copies of all material amendments of or supplements to the foregoing, if any and (ii) such other documents relating to its services under this Agreement, in each case solely as the Adviser may reasonably request. Such amendments or supplements as to items (i) through (iv) above, shall be provided within 30 days of the time such materials are requested by the Adviser.
DELIVERY OF DOCUMENTS TO THE ADVISER. The Sub-Adviser has furnished, and in the future will furnish, the Adviser with true, correct and complete copies of each of the following documents:
(a) The Sub-Adviser's most recent Form ADV; (b) The Sub-Adviser's most recent balance sheet; (c) The current Code of Ethics of the Sub-Adviser, adopted pursuant to Rule 17j-1 under the 1940 Act, and annual certifications regarding compliance with such Code; and
DELIVERY OF DOCUMENTS TO THE ADVISER. The Sub-Adviser has furnished, and in the future will furnish, the Adviser with true, correct and complete copies of each of the following documents:
(a) The Sub-Adviser’s most recent Form ADV;
(b) The most recent balance sheet of the Sub-Adviser’s parent, State Street Corporation;
(c) The current Code of Ethics of the Sub-Adviser, adopted pursuant to Rule 204A-1 under the Advisers Act and consistent with Rule 17j-1 under the 1940 Act, and annual certifications regarding compliance with such Code; and
(d) A description of the material findings, which involve or would likely involve services provided to the Trust, resulting from any examination of the Sub-Adviser by the Commission or other regulatory agency with jurisdiction with respect to Sub-Adviser’s activities hereunder. The Sub-Adviser will furnish the Adviser with all such documents as soon as practicable after such documents become available. The Sub-Adviser shall furnish the Adviser with any further documents, materials or information as the Adviser may reasonably request in connection with Sub-Adviser’s performance of its duties under this Agreement, including, but not limited to, information regarding the Sub-Adviser’s financial condition, level of insurance coverage and any certifications or sub-certifications which may reasonable be requested in connection with Fund registration statements, Form N-CSR filings or other regulatory filings.
DELIVERY OF DOCUMENTS TO THE ADVISER. The [Corporation/Trust] has furnished the Adviser with true, correct and complete copies of the following documents:
(a) The [Articles of Incorporation/Trust Instrument], as in effect on the date hereof; (b) The Registration Statement filed with the Commission under the 1940 Act and the Securities Act; and (c) Written guidelines, policies and procedures adopted by the [Corporation/Trust]. The [Corporation/Trust] will furnish the Adviser with all future amendments and supplements to the foregoing as soon as practicable after such documents become available. The [Corporation/Trust] shall furnish the Adviser with any further documents, materials or information that the Adviser may reasonably request in connection with the performance of its duties hereunder.
DELIVERY OF DOCUMENTS TO THE ADVISER. The Sub-Adviser has furnished, and in the future will furnish, the Adviser with true, correct and complete copies of each of the following documents:
(a) The Sub-Adviser's most recent Form ADV;
(b) The Sub-Adviser's most recent balance sheet;
(c) The current Code of Ethics of the Sub-Adviser, adopted pursuant to Rule 17j-1 under the 1940 Act, and annual certifications regarding compliance with such Code; and
(d) The results of any examination of the Sub-Adviser by the Commission or other regulatory agency. The Sub-Adviser will furnish the Adviser with all such documents as soon as practicable after such documents become available. The Sub-Adviser shall furnish the Adviser with any further documents, materials or information as the Adviser may reasonably request in connection with Sub-Adviser's performance of its duties under this Agreement, including, but not limited to, information regarding the Sub-Adviser's financial condition, level of insurance coverage and any certifications or sub- certifications which may reasonably be requested in connection with Fund registration statements, Form N-CSR filings or other regulatory filings.
