Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust will furnish to Distributor the following:
A. copies of the Declaration of Trust and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
B. the Trust’s Bylaws and any amendments thereto;
C. certified copies of resolutions of the Board covering the approval of this Agreement, authorization of a specified officer of the Trust to execute and deliver this Agreement and authorization for specified officers of the Trust to instruct Distributor thereunder;
D. a list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Distributor in all matters;
E. the Funds’ most recent audited financial statements;
F. the Trust’s Registration Statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the 1940 Act;
G. copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the 1940 Act for each Fund, if applicable;
H. contact information for each Fund’s service providers, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel and chief compliance officer;
I. a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the 1940 Act; and
J. any material correspondence or other communication by the SEC, FINRA, any government or self-regulatory organization or its staff relating to the Funds, including any related to examinations of the Trust or the Funds, requests by the SEC for amendments to the Registration Statement or any advertising or sales literature.
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust will furnish to Ultimus the following:
(A) copies of the Declaration of Trust and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) the Trust’s Bylaws and any amendments thereto;
(C) certified copies of resolutions of the Board covering the approval of this Agreement, authorization of a specified officer of the Trust to execute and deliver this Agreement and authorization for specified officers of the Trust to instruct Ultimus thereunder;
(D) a list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx in all matters;
(E) the Trust’s registration statement and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company Act;
(F) the Trust’s notification of registration under the Investment Company Act on Form N-8A as filed with the SEC;
(G) the Trust’s current prospectus and statement of additional information for each Fund;
(H) an accurate, current list of shareholders of each existing series of the Trust, if applicable, showing each shareholder’s address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
(I) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company Act for each Fund, if applicable;
(J) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fund;
(K) copies of the current underwriting agreement for each Fund;
(L) contact information for each Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(M) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Fund will furnish to Ultimus the following:
(A) copies of the Fund’s formation document and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) the Fund’s Bylaws and any amendments thereto;
(C) certified copies of resolutions of the Board covering the approval of this Agreement, authorization of a specified officer of the Fund to execute and deliver this Agreement and authorization for specified officers of the Fund to instruct Ultimus thereunder;
(D) a list of all the officers of the Fund, together with specimen signatures of those officers who are authorized to instruct Xxxxxxx in all matters;
(E) the Fund’s registration statement and all amendments thereto filed with the SEC;
(F) the Fund’s notification of registration under the Investment Company Act;
(G) the Fund’s current prospectus and statement of additional information;
(H) an accurate, current list of shareholders of the Fund showing each shareholder’s address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
(I) copies of the current plan of distribution adopted by the Fund under Rule 12b-1 under the Investment Company Act, if applicable;
(J) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for the Fund;
(K) copies of the current underwriting agreement for the Fund;
(L) contact information for the Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(M) a copy of procedures adopted by the Fund in accordance with Rule 38a-1 under the Investment Company Act.
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Fund will furnish to Distributor the following:
A. copies of the Declaration of Trust and any amendments thereto, certified by the proper official of the state in which such document has been filed;
B. a copy of the Fund’s Bylaws and any amendments thereto;
C. certified copies of resolutions of the Board covering the approval of this Agreement, authorization of a specified officer of the Fund to execute and deliver this Agreement and authorization for specified officers of the Fund to instruct Distributor thereunder;
D. a list of all the officers of the Fund, together with specimen signatures of those officers who are authorized to instruct Distributor in all matters;
E. the Fund’s most recent audited financial statements;
F. the Fund’s Registration Statement and all amendments thereto filed with the SEC pursuant to the Securities Act and the 1940 Act;
G. contact information for the Fund’s service providers, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel and chief compliance officer;
H. a copy of procedures adopted by the Fund in accordance with Rule 38a-1 under the 1940 Act; and
I. any material correspondence or other communication by the SEC, FINRA, any government or self-regulatory organization or its staff relating to the Fund, including any related to examinations of the Fund, requests by the SEC for amendments to the Registration Statement or any advertising or sales literature.
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust will furnish to Service Provider the following:
(A) copies of the Agreement and Declaration of Trust and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) the Trust’s Bylaws and any amendments thereto;
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the BDC will furnish to Ultimus the following, if applicable:
(A) copies of the Organizational Documents and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) certified copies of resolutions of the Board covering the approval of this Agreement, authorization of a specified officer of the BDC to execute and deliver this Agreement and authorization for specified officers of the BDC to instruct Ultimus thereunder;
(C) a list of all the officers of the BDC, together with specimen signatures of those officers who are authorized to instruct Xxxxxxx in all matters;
(D) an accurate, current list of shareholders of each existing BDC, if applicable, showing each shareholder’s address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
(E) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for the BDC;
(F) copies of the current underwriting agreement for the BDC, if applicable; and
(G) contact information for the BDC’s service providers, including, but not limited to, the BDC’s administrator, custodian, independent accountants, legal counsel, underwriter and chief compliance officer.
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Fund will furnish to Distributor the following:
A. copies of the Articles of Incorporation of the Fund and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
B. the Fund’s Bylaws and any amendments thereto;
C. certified copies of resolutions of the Board covering the approval of this Agreement, authorization of a specified officer of the Fund to execute and deliver this Agreement and authorization for specified officers of the Fund to instruct Distributor thereunder;
D. a list of all the officers of the Fund, together with specimen signatures of those officers who are authorized to instruct Distributor in all matters;
E. the Portfolios’ most recent audited financial statements;
F. the Fund’s Registration Statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the 1940 Act;
G. copies of the current plan of distribution adopted by the Fund under Rule 12b-1 under the 1940 Act for each Portfolio, if applicable;
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Fund will furnish to Ultimus the following:
(A) copies of the Fund’s formation document and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) the Fund’s Bylaws and any amendments thereto; (C) certified copies of resolutions of the Board covering the approval of this Agreement, authorization of a specified officer of the Fund to execute and deliver this Agreement and authorization for specified officers of the Fund to instruct Ultimus thereunder;
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Fund will furnish to Ultimus the following:
(A) copies of the Fund’s formation document and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) the Fund’s Bylaws and any amendments thereto; MainStay MacKay Municipal Income Opportunities Fund Ultimus Master Services Agreement (C) certified copies of resolutions of the Board covering the approval of this Agreement, authorization of a specified officer of the Fund to execute and deliver this Agreement and authorization for specified officers of the Fund to instruct Ultimus thereunder;
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust will furnish to Distributor the following:
A. copies of the Declaration of Trust and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
B. the Trust’s Bylaws and any amendments thereto;
C. certified copies of resolutions of the Board covering the approval of this Agreement, authorization of a specified officer of the Trust to execute and deliver this Agreement and authorization for specified officers of the Trust to instruct Distributor thereunder; D. a list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Distributor in all matters;
