Common use of Fund Compliance Services Clause in Contracts

Fund Compliance Services. Subject to the approval and oversight of the Board of Trustees, the Administrator will maintain oversight of a compliance program for the Trust consistent with Rule 38a-1 under the Investment Company Act of 1940 that includes a Trust Chief Compliance Officer (CCO) responsible for administering the Trust’s policies and procedures adopted under Rule 38a-1 of the Investment Company Act of 1940 (“1940 Act”). The CCO and Fund compliance officers (“Fund Compliance Team”) will conduct an initial due diligence review of each Investment Adviser and sub-adviser of a Fund and will provide information to the Board of Trustees regarding the policies and procedures that each Investment Adviser and sub-adviser has adopted pursuant to Rule 38a-1 under the 1940 Act on behalf of the Fund(s) for which it serves as Investment Adviser or sub-adviser (“Fund Compliance Programs”). The Fund Compliance Team will facilitate quarterly and annual reporting to the Board of Trustees regarding the operation and effectiveness of the Fund Compliance Programs and will serve as a liaison between the Investment Adviser or sub-adviser and the Board of Trustees regarding material compliance matters that arise relating to the Fund Compliance Programs. Upon request by a Fund, the Administrator may, at its discretion, provide the following enhanced services. In the sole discretion of the Administrator, the provision of any enhanced services by the Administrator may be subject to the completion of a Statement of Work detailing the terms relating to the performance of any Enhanced Services. a) Perform administrative functions associated with account opening, name change, conversion, merger, market-specific licensing renewals, and account closing documentation for foreign custody market registration provided to the Administrator by the Fund’s custodian. b) Perform administrative functions associated with the completion of tax documentation required by the custodian or sub-custodian for tax reclaim applications in foreign markets that the Fund’s adviser requests the Fund be able to trade in including forms, signatures and appropriate certifications. c) Perform administrative functions associated with the completion of, and subject to adviser review, proxy documentation as required by the custodian or sub-custodian for it to process voting requirements in foreign markets that the Fund’s adviser requests the Fund be able to trade in, including forms, signatures and appropriate certifications. d) Perform initial review of due diligence materials in connection with Fund reorganizations. e) Prepare preliminary drafts of any of the following Trust Materials for review and completion by Fund Counsel: (i) Prospectuses, Summary Prospectuses, Statements of Additional Information, Registration Statements, including Part C, and supplements and annual updates thereto (ii) Registration statement disclosure pertaining to special issues or related performance information (iii) Proxy statements (iv) N-14s

Fund Compliance Services. Subject to the approval and oversight of the Board of Trustees, the Administrator will maintain oversight of a compliance program for the Trust consistent with Rule 38a-1 under the Investment Company Act of 1940 that includes a Trust Chief Compliance Officer (CCO) responsible for administering the Trust’s policies and procedures adopted under Rule 38a-1 38a- 1 of the Investment Company Act of 1940 (“1940 Act”). The CCO and Fund compliance officers (“Fund Compliance Team”) will conduct an initial due diligence review of each Investment Adviser and sub-adviser of a Fund and will provide information to the Board of Trustees regarding the policies and procedures that each Investment Adviser and sub-adviser has adopted pursuant to Rule 38a-1 under the 1940 Act on behalf of the Fund(s) for which it serves as Investment Adviser or sub-adviser (“Fund Compliance Programs”). The Fund Compliance Team will facilitate quarterly and annual reporting to the Board of Trustees regarding the operation and effectiveness of the Fund Compliance Programs and will serve as a liaison between the Investment Adviser or sub-adviser and the Board of Trustees regarding material compliance matters that arise relating to the Fund Compliance Programs. Upon request by a Fund, the Administrator may, at its discretion, provide the following enhanced services. In the sole discretion of the Administrator, the provision of any enhanced services by the Administrator may be subject to the completion of a Statement of Work detailing the terms relating to the performance of any Enhanced Services. a) Perform administrative functions associated with account opening, name change, conversion, merger, market-specific licensing renewals, and account closing documentation for foreign custody market registration provided to the Administrator by the Fund’s custodian. b) Perform administrative functions associated with the completion of tax documentation required by the custodian or sub-custodian for tax reclaim applications in foreign markets that the Fund’s adviser requests the Fund be able to trade in including forms, signatures and appropriate certifications. c) Perform administrative functions associated with the completion of, and subject to adviser review, proxy documentation as required by the custodian or sub-custodian for it to process voting requirements in foreign markets that the Fund’s adviser requests the Fund be able to trade in, including forms, signatures and appropriate certifications. d) Perform initial review of due diligence materials in connection with Fund reorganizations. e) Prepare preliminary drafts of any of the following Trust Materials for review and completion by Fund Counsel: (i) Prospectuses, Summary Prospectuses, Statements of Additional Information, Registration Statements, including Part C, and supplements and annual updates thereto (ii) Registration statement disclosure pertaining to special issues or related performance information (iii) Proxy statements (iv) N-14s (v) Manager information statements (vi) Board meeting minutes (vii) Board meeting materials or materials relating to written consents (viii) Exemptive orders f) Contact the SEC staff to obtain comments relating to Fund filings, prepare initial draft of comment letters and revision of Fund filings to reflect staff comments, each subject to review and completion by Fund Counsel. g) Pursuant to individual Statements of Work, provide information relating to new regulations or changes in regulations and compliance with such regulations. Any such information shall be administrative in nature and shall not constitute, nor shall it be construed to constitute, legal advice or the provision of legal services for or on behalf of any Fund or any person. TO WHOM NOTICES SHOULD BE SENT PURSUANT TO SECTION 14.08 OF THE AGREEMENT: Name of Contact: Address: Telephone No.: Facsimile No.: Email Address: Series of Funds: [NAME OF FUND(S)], and any additional fund established within this Series subsequent to the date hereof (each a “Fund).

Fund Compliance Services. Subject to the approval and oversight of the Board of Trustees, the Administrator will maintain oversight of a compliance program for the Trust consistent with Rule 38a-1 under the Investment Company Act of 1940 that includes a Trust Chief Compliance Officer (CCO) responsible for administering the Trust’s policies and procedures adopted under Rule 38a-1 of the Investment Company Act of 1940 (“1940 Act”). The CCO and Fund compliance officers (“Fund Compliance Team”) will conduct an initial due diligence review of each Investment Adviser and sub-adviser of a Fund and will provide information to the Board of Trustees regarding the policies and procedures that each Investment Adviser and sub-adviser has adopted pursuant to Rule 38a-1 under the 1940 Act on behalf of the Fund(s) for which it serves as Investment Adviser or sub-adviser (“Fund Compliance Programs”). The Fund Compliance Team will facilitate quarterly and annual reporting to the Board of Trustees regarding the operation and effectiveness of the Fund Compliance Programs and will serve as a liaison between the Investment Adviser or sub-adviser and the Board of Trustees regarding material compliance matters that arise relating to the Fund Compliance Programs. Upon request by a Fund, the Administrator may, at its discretion, provide the following enhanced services. In the sole discretion of the Administrator, the provision of any enhanced services by the Administrator may be subject to the completion of a Statement of Work detailing the terms relating to the performance of any Enhanced Services. a) Perform administrative functions associated with account opening, name change, conversion, merger, market-specific licensing renewals, and account closing documentation for foreign custody market registration provided to the Administrator by the Fund’s custodian. b) Perform administrative functions associated with the completion of tax documentation required by the custodian or sub-custodian for tax reclaim applications in foreign markets that the Fund’s adviser requests the Fund be able to trade in including forms, signatures and appropriate certifications. c) Perform administrative functions associated with the completion of, and subject to adviser review, proxy documentation as required by the custodian or sub-custodian for it to process voting requirements in foreign markets that the Fund’s adviser requests the Fund be able to trade in, including forms, signatures and appropriate certifications. d) Perform initial review of due diligence materials in connection with Fund reorganizations. e) Prepare preliminary drafts of any of the following Trust Materials for review and completion by Fund Counsel: (i) Prospectuses, Summary Prospectuses, Statements of Additional Information, Registration Statements, including Part C, and supplements and annual updates thereto (ii) Registration statement disclosure pertaining to special issues or related performance information (iii) Proxy statements statements (iv) N-14s (v) Manager information statements (vi) Board meeting minutes (vii) Board meeting materials or materials relating to written consents (viii) Exemptive orders f) Contact the SEC staff to obtain comments relating to Fund filings, prepare initial draft of comment letters and revision of Fund filings to reflect staff comments, each subject to review and completion by Fund Counsel. g) Pursuant to individual Statements of Work, provide information relating to new regulations or changes in regulations and compliance with such regulations. Any such information shall be administrative in nature and shall not constitute, nor shall it be construed to constitute, legal advice or the provision of legal services for or on behalf of any Fund or any person.

Fund Compliance Services. Subject to the approval and oversight of the Board of Trustees, the Administrator will maintain oversight of a compliance program for the Trust consistent with Rule 38a-1 under the Investment Company Act of 1940 that includes providing a Trust Chief Compliance Officer (CCO) responsible for administering the Trust’s policies and procedures adopted under Rule 38a-1 of the Investment Company Act of 1940 (“1940 Act”). The CCO and Fund compliance officers (“Fund Compliance Team”) will conduct an initial due diligence review of each the Investment Adviser and sub-adviser Sub- Adviser of a Fund and will provide information to the Board of Trustees regarding the policies and procedures that each the Investment Adviser and subSub-adviser Adviser has adopted pursuant to Rule 38a-1 under the 1940 Act on behalf of the Fund(s) for which it serves as Investment Adviser or subSub-adviser Adviser (“Fund Compliance Programs”). The Fund Compliance Team will facilitate quarterly and annual reporting to the Board of Trustees regarding the operation and effectiveness of the Fund Compliance Programs and will serve as a liaison between the Investment Adviser or subSub-adviser Adviser and the Board of Trustees regarding material compliance matters that arise relating to the Fund Compliance Programs. Enhanced Services: Upon request by a Fund, the Administrator may, at its discretion, provide the following enhanced services. In the sole discretion of the Administrator, the provision of any enhanced services by the Administrator may be subject to the completion of a Statement of Work detailing the terms relating to the performance of any Enhanced Services. a) Perform administrative functions associated with account opening, name change, conversion, merger, market-specific licensing renewals, and account closing documentation for foreign custody market registration provided to the Administrator by the Fund’s custodian. b) Perform administrative functions associated with the completion of tax documentation required by the custodian or sub-custodian for tax reclaim applications in foreign markets that the Fund’s adviser requests the Fund be able to trade in including forms, signatures and appropriate certifications. c) Perform administrative functions associated with the completion of, and subject to adviser review, proxy documentation as required by the custodian or sub-custodian for it to process voting requirements in foreign markets that the Fund’s adviser requests the Fund be able to trade in, including forms, signatures and appropriate certifications. d) Perform initial review of due diligence materials in connection with Fund reorganizations., e) Prepare preliminary drafts of any of the following Trust Materials for review and completion by Fund Counsel: (i) Prospectuses, Summary Prospectuses, Statements of Additional Information, Registration Statements, including Part C, and supplements and annual updates thereto (ii) Registration statement disclosure pertaining to special issues or related performance information; (iii) Proxy statements statements, (iv) N-14s,

Fund Compliance Services. Subject to the approval and oversight of the Board of Trustees, the Administrator will maintain oversight of a compliance program for the Trust consistent with Rule 38a-1 under the Investment Company Act of 1940 that includes providing a Trust Chief Compliance Officer (CCO) responsible for administering the Trust’s policies and procedures adopted under Rule 38a-1 of the Investment Company Act of 1940 (“1940 Act”). The CCO and Fund compliance officers (“Fund Compliance Team”) will conduct an initial due diligence review of each the Investment Adviser and subSub-adviser Adviser of a Fund and will provide information to the Board of Trustees regarding the policies and procedures that each the Investment Adviser and subSub-adviser Adviser has adopted pursuant to Rule 38a-1 under the 1940 Act on behalf of the Fund(s) for which it serves as Investment Adviser or subSub-adviser Adviser (“Fund Compliance Programs”). The Fund Compliance Team will facilitate quarterly and annual reporting to the Board of Trustees regarding the operation and effectiveness of the Fund Compliance Programs and will serve as a liaison between the Investment Adviser or subSub-adviser Adviser and the Board of Trustees regarding material compliance matters that arise relating to the Fund Compliance Programs. Upon request by a Fund, the Administrator may, at its discretion, provide the following enhanced services. In the sole discretion of the Administrator, the provision of any enhanced services by the Administrator may be subject to the completion of a Statement of Work detailing the terms relating to the performance of any Enhanced Services. a) Perform administrative functions associated with account opening, name change, conversion, merger, market-specific licensing renewals, and account closing documentation for foreign custody market registration provided to the Administrator by the Fund’s custodian. b) Perform administrative functions associated with the completion of tax documentation required by the custodian or sub-custodian for tax reclaim applications in foreign markets that the Fund’s adviser requests the Fund be able to trade in including forms, signatures and appropriate certifications. c) Perform administrative functions associated with the completion of, and subject to adviser review, proxy documentation as required by the custodian or sub-custodian for it to process voting requirements in foreign markets that the Fund’s adviser requests the Fund be able to trade in, including forms, signatures and appropriate certifications. d) Perform initial review of due diligence materials in connection with Fund reorganizations., e) Prepare preliminary drafts of any of the following Trust Materials for review and completion by Fund Counsel: (i) Prospectuses, Summary Prospectuses, Statements of Additional Information, Registration Statements, including Part C, and supplements and annual updates thereto (ii) Registration statement disclosure pertaining to special issues or related performance information; (iii) Proxy statements statements, (iv) N-14s, (v) Manager information statements, (vi) Board meeting minutes, (vii) Board meeting materials or materials relating to written consents, (viii) Exemptive orders f) Contact the SEC staff to obtain comments relating to Fund filings, prepare initial draft of comment letters and revision of Fund filings to reflect staff comments, each subject to review and completion by Fund Counsel, g) Pursuant to individual Statements of Work, provide information relating to new regulations or changes in regulations and compliance with such regulations. Any such information shall be administrative in nature and shall not constitute, nor shall it be construed to constitute, legal advice or the provision of legal services for or on behalf of any Fund or any person.