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.
Appears in 4 contracts
Samples: Master Services Agreement (Timothy Plan), Master Services Agreement (James Advantage Funds), Master Services Agreement (North Square Investments Trust)
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 Ultimus 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) each Fund’s listing notice from the applicable securities exchange;
(H) the Trust’s current prospectus and statement of additional information for each Fund;
(HI) 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;
(IJ) 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;
(JK) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fund;
(KL) copies of the current underwriting agreement for each Fund;
(LM) contact information for each Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, transfer agent and/or index receipt agent, independent accountants, legal counsel, underwriter underwriter, lead market maker, securities exchange where shares will be listed, and chief compliance officer; and
(MN) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 4 contracts
Samples: Etf Master Services Agreement (Capitol Series Trust), Etf Master Services Agreement (Valued Advisers Trust), Etf Master Services Agreement (Zacks Trust)
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 theretoto it;
(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 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 to it 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 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 under Rule 38a-1 under the Investment Company Act.
Appears in 2 contracts
Samples: Master Services Agreement (New Age Alpha Funds Trust), Master Services Agreement (New Age Alpha Variable Funds Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust each Fund 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 TrustFund’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 Fund to execute and deliver this Agreement and authorization for specified officers of the Trust Fund to instruct Ultimus thereunder;
(D) a list of all the officers of the TrustFund, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Ultimus in all matters;
(E) the TrustFund’s registration statement and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company Act;
(F) the TrustFund’s notification of registration under the Investment Company Act on Form N-8A as filed with the SEC;
(G) the TrustFund’s current prospectus and statement of additional information for each Fundinformation;
(H) an accurate, current list of shareholders of each existing series of the Trust, if applicable, 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 Trust Fund under Rule 12b-1 under the Investment Company Act for each FundAct, 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 Fund’s current underwriting agreement for each Fundagreement;
(L) contact information for each 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 Trust Fund in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 2 contracts
Samples: Master Services Agreement (AOG Institutional Diversified Fund), Master Services Agreement (AOG Institutional Diversified Master Fund)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust Fund will furnish to Ultimus the following:
(A) copies of the Declaration of Trust Fund and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) the TrustFund’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 Fund to execute and deliver this Agreement and authorization for specified officers of the Trust Fund to instruct Ultimus thereunder;
(D) a list of all the officers of the TrustFund, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Ultimus in all matters;
(E) the TrustFund’s registration statement and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company Act;
(F) the TrustFund’s notification of registration under the Investment Company Act on Form N-8A as filed with the SEC;
(G) the TrustFund’s current prospectus and statement of additional information for each Fund;
(H) an accurate, current list of shareholders of each existing series of the TrustFund, 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 Fund 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 Fund in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Master Services Agreement (Atlas U.S. Tactical Income Fund)
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;; Ultimus ETF Master Services Agreement
(D) a list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Xxxxxxx 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) each Fund’s listing notice from the applicable securities exchange;
(H) the Trust’s current prospectus and statement of additional information for each Fund;
(HI) 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;
(IJ) 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;
(JK) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fund;
(KL) copies of the current underwriting agreement for each Fund;
(LM) contact information for each Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, transfer agent and/or index receipt agent, independent accountants, legal counsel, underwriter underwriter, lead market maker, securities exchange where shares will be listed, and chief compliance officer; and
(MN) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Etf Master Services Agreement (Exchange Listed Funds Trust)
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;
(CB) 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;
(DC) a list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Ultimus in all matters;
(ED) the Trust’s registration statement on Form N-1A relating to a Fund and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;; Ultimus Master Services Agreement Asset Management Fund
(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;
(HE) an accurate, 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;
(IF) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JG) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KH) copies of the current underwriting agreement for each Fund;
(LI) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(MJ) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and;
(ML) a copy of the Trust’s procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act; and
(M) a summary of the compliance program adopted by the Trust for which the procedures are shared with the Advisor.
Appears in 1 contract
Samples: Master Services Agreement (Segall Bryant & Hamill Trust)
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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-2 and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Samples: Master Services Agreement (Cross Shore Discovery Fund)
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 Ultimus 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.
Appears in 1 contract
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 Ultimus 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.
Appears in 1 contract
Samples: Master Services Agreement (Domini Investment Trust)
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;; Red Cedar Fund Trust Ultimus Master Services Agreement November 1, 2019 Page 10 of 16
(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 Ultimus 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.
Appears in 1 contract
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 the Fund;
(K) copies of the current underwriting agreement for each the Fund;
(L) contact information for each 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 Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
; (F) the F)the Trust’s notification of registration under the Investment Company 1940 Act on Form N-8A as filed with the SEC;
(G) the Trust’s current prospectus and statement of additional information for each Fund;
(HF) an accurate, 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;
(IG) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JH) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KI) copies of the current underwriting agreement for each Fund;
(LJ) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(MK) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Samples: Master Services Agreement (Centaur Mutual Funds Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust Company will furnish to Ultimus the following:
(A) copies of the Declaration Company’s Articles of Trust Incorporation and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) the TrustCompany’s Bylaws and any amendments thereto;
(C) certified copies of resolutions of the Company’s Board of Directors covering the approval of this Agreement, authorization of a specified officer of the Trust Company to execute and deliver this Agreement and authorization for specified officers of the Trust Company to instruct Ultimus thereunder;
(D) a list of all the officers of the TrustCompany, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Ultimus in all matters;
(E) the TrustCompany’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the TrustCompany’s notification of registration under the Investment Company 1940 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, accurate current list of shareholders of each existing series of the TrustCompany, if applicable, showing each shareholder’s address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
(IH) copies of the current plan of distribution adopted by the Trust Company under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust Company in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Samples: Master Services Agreement (Spirit of America Investment Fund Inc)
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;
(CB) 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;
(DC) 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;
(ED) the Trust’s registration statement on Form N-1A relating to a Fund and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 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;
(HE) an accurate, 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;
(IF) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JG) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KH) copies of the current underwriting agreement for each Fund;
(LI) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(MJ) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
; (IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 12b- I under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, 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.
Appears in 1 contract
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 Xxxxxxx 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;; Texas Capital Funds Trust Ultimus Master Services Agreement September 29, 2023 Page 15 of 21
(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.
Appears in 1 contract
Samples: Master Services Agreement (Texas Capital Funds Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Adviser and/or 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 Ultimus 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.
Appears in 1 contract
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 Ultimus 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.
Appears in 1 contract
Samples: Master Services Agreement (Primark Private Equity Fund)
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 Ultimus 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’s listing notice from the applicable securities exchange;
(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 certificatesintentionally omitted;
(I) intentionally omitted;
(J) 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;
(JK) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fund;
(KL) copies of the current underwriting agreement for each Fund;; and
(LM) contact information for each Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, transfer agent and/or index receipt agent, independent accountants, legal counsel, underwriter underwriter, lead market maker, securities exchange where shares will be listed, 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.
Appears in 1 contract
Samples: Etf Master Services Agreement (New Age Alpha Trust)
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 Xxxxxxx 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) each Fund’s listing notice from the applicable securities exchange;
(H) the Trust’s current prospectus and statement of additional information for each Fund;
(HI) 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;
(IJ) 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;
(JK) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fund;
(KL) copies of the current underwriting agreement for each Fund;
(LM) contact information for each Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, transfer agent and/or index receipt agent, independent accountants, legal counsel, underwriter underwriter, lead market maker, securities exchange where shares will be listed, and chief compliance officer; and
(MN) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Etf Master Services Agreement (Texas Capital Funds Trust)
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 Ultimus in all matters;
(E) the Trust’s most recent amendment to its registration statement and all amendments thereto on Form N-1A filed with the SEC pursuant to the Securities Act and the Investment Company 1940 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, 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;
(IG) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;; American Pension Investors Trust (d/b/a Yorktown Funds)
(JH) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KI) copies of the current underwriting agreement for each Fund;
(LJ) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(MK) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Samples: Master Services Agreement (American Pension Investors Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust Fund will furnish to Ultimus the following:
(A) copies of the Declaration Certificate of Trust and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) copies of the TrustDeclaration of Trust and of any amendments thereto;
(C) the Fund’s Bylaws and any amendments thereto;
(CD) certified copies of resolutions of the Board covering the approval of this Agreement, authorization of a specified officer of the Trust Fund to execute and deliver this Agreement and authorization for specified officers of the Trust Fund to instruct Ultimus thereunder;
(DE) a list of all the officers of the TrustFund, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Xxxxxxx in all matters;
(EF) the TrustFund’s registration statement and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company Act;
(FG) the TrustFund’s notification of registration under the Investment Company Act on Form N-8A as filed with the SEC;
(GH) the TrustFund’s current prospectus and statement of additional information for each Fundinformation;
(HI) an accurate, current list of shareholders of each existing series of the Trust, if applicable, Fund showing each shareholder’s address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
(IJ) copies of the current plan of distribution adopted by the Trust Fund under Rule 12b-1 under the Investment Company Act for each FundAct, if applicable;
(JK) 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) copies of the Fund’s current underwriting agreement;
(M) contact information for each 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
(MN) a copy of procedures adopted by the Trust Fund in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
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 Ultimus 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; andand Ultimus Master Services Agreement
(M) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Client, on behalf of 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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust Administrator will furnish to Ultimus the following:
(A) copies of the Declaration of Trust Organizational Documents 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 BDC to execute and deliver this Agreement and authorization for specified officers of the Trust BDC to instruct Ultimus thereunder;
(DC) a list of all the officers of the TrustAdministrator, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Xxxxxxx in all matters;
(ED) the TrustBDC’s registration statement and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company Act;
(FE) the TrustBDC’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;
(HF) an accurate, current list of shareholders of each the existing series of the TrustBDC, if applicable, showing each shareholder’s address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
(IG) copies of the current plan of distribution adopted by the Trust BDC under Rule 12b-1 under the Investment Company Act for each Fundthe BDC, if applicable;
(JH) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fundthe BDC;
(KI) copies of the current underwriting agreement for each Fundthe BDC, if applicable;
(LJ) contact information for each Fundthe BDC’s service providers, including, but not limited to, the FundBDC’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(MK) a copy of procedures adopted by the Trust BDC in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Sub Administration Agreement (Kayne Anderson BDC, Inc.)
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 Ultimus in all matters;; Ultimus Master Services Agreement
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and;
(ML) a copy of the Trust’s procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act; and
(M) a summary of the compliance program adopted by the Trust for which the procedures are shared with the Advisor.
Appears in 1 contract
Samples: Master Services Agreement (Segall Bryant & Hamill Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust BDC will furnish to Ultimus Xxxxxxx the following:
(A) copies of the Declaration of Trust Organizational Documents 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 BDC to execute and deliver this Agreement and authorization for specified officers of the Trust BDC to instruct Ultimus thereunder;
(DC) a list of all the officers of the TrustBDC, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Xxxxxxx in all matters;
(ED) 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 TrustBDC’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;
(HE) an accurate, current list of shareholders of each existing series of the TrustBDC, if applicable, showing each shareholder’s address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
(IF) copies of the current plan of distribution adopted by the Trust BDC under Rule 12b-1 under the Investment Company Act for each Fundthe BDC, if applicable;
(JG) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fundthe BDC;
(KH) copies of the current underwriting agreement for each Fundthe BDC, if applicable;
(LI) contact information for each Fundthe BDC’s service providers, including, but not limited to, the FundBDC’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(MJ) a copy of procedures adopted by the Trust BDC in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Transfer Agent Services Agreement (BIP Evergreen Venture Fund)
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 Ultimus 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;; Ultimus Fund Accounting and Transfer Agent Agreement
(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.
Appears in 1 contract
Samples: Fund Accounting and Transfer Agent Agreement (Tactical Investment Series Trust)
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) copies of 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 Ultimus 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;; Ultimus Master Services Agreement
(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.
Appears in 1 contract
Samples: Master Services Agreement (BondHouse Investment Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust will furnish to The Trust’s chief compliance officer shall ensure that Ultimus has in its records 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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
; Valued Advisers Trust Ultimus Master Services Agreement (KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust will furnish to Ultimus 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;
(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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
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 Ultimus 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) each Fund’s listing notice from the applicable securities exchange;
(H) the Trust’s current prospectus and statement of additional information for each Fund;
(HI) 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;
(IJ) 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;
(JK) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fund;
(KL) copies of the current underwriting agreement for each Fund;
(LM) contact information for each Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, transfer agent and/or index receipt agent, independent accountants, legal counsel, underwriter underwriter, lead market maker, securities exchange where shares will be listed, and chief compliance officer; and
(MN) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.. Uncommon Investment Funds TrustUltimus Amended and Restated ETF Master Services AgreementPage 11 of 16
Appears in 1 contract
Samples: Etf Master Services Agreement (Uncommon Investment Funds Trust)
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 '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 Xxxxxxx in all matters;
(E) the Trust’s '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 's notification of registration under the Investment Company Act on Form N-8A as filed with the SEC;
(G) each Fund's listing notice from the applicable securities exchange;
(H) the Trust’s 's current prospectus and statement of additional information for each Fund;
(HI) an accurate, current list of shareholders of each existing series of the Trust, if applicable, showing each shareholder’s 's address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
(IJ) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 12b-l under the Investment Company Act for each Fund, if applicable;
(JK) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fund;
(KL) copies of the current underwriting agreement for each Fund;
(LM) contact information for each Fund’s 's service providers, including, but not limited to, the Fund’s 's administrator, custodian, transfer agent and/or index receipt agent, independent accountants, legal counsel, underwriter underwriter, lead market maker, securities exchange where shares will be listed, and chief compliance officer; and
(MN) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Etf Master Services Agreement (THOR Financial Technologies Trust)
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 Xxxxxxx 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; Ultimus ETF Master Services Agreement
(G) each Fund’s listing notice from the applicable securities exchange;
(GH) the Trust’s current prospectus and statement of additional information for each Fund;
(HI) 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;
(IJ) 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;
(JK) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fund;
(KL) copies of the current underwriting agreement for each Fund;
(LM) contact information for each Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, transfer agent and/or index receipt agent, independent accountants, legal counsel, underwriter underwriter, lead market maker, securities exchange where shares will be listed, and chief compliance officer; and
(MN) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Etf Master Services Agreement (Exchange Place Advisors Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust will furnish to may confirm that Ultimus has each of 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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Samples: Master Services Agreement (AlphaMark Investment Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust Fund will furnish to Ultimus the following:
(A) copies of the Declaration Articles of Trust Incorporation and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) the TrustFund’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 Fund to execute and deliver this Agreement and authorization for specified officers of the Trust Fund to instruct Ultimus thereunder;
(D) a list of all the officers of the TrustFund, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Ultimus in all matters;
(E) the TrustFund’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the TrustFund’s notification of registration under the Investment Company 1940 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, accurate current list of shareholders of each existing series of the TrustFund, if applicable, showing each shareholder’s address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
; (IH) copies of the current plan of distribution adopted by the Trust Fund under Rule 12b-1 under the Investment Company 1940 Act for each FundPortfolio, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each FundPortfolio;
(KJ) copies of the current underwriting agreement for each FundPortfolio;
(LK) contact information for each FundPortfolio’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust Fund in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Samples: Master Services Agreement (Caldwell & Orkin Funds Inc)
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; andand Ultimus Master Services Agreement
(M) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Master Services Agreement (Johnson Mutual Funds Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust will furnish to Ultimus 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;
(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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act. The parties will deem such documents delivered if they are publicly available to Ultimus.
Appears in 1 contract
Samples: Master Services Agreement (Waycross Independent Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust will furnish (or will have furnished) 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 Ultimus in all matters;
(E) the Trust’s most recent amendment to its registration statement and all amendments thereto on Form N-1A filed with the SEC pursuant to the Securities Act and the Investment Company 1940 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, 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;
(IG) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JH) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KI) copies of the current underwriting agreement for each Fund;
(LJ) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(MK) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Samples: Master Services Agreement (American Pension Investors Trust)
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 Xxxxxxx 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 recordofrecord, 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.
Appears in 1 contract
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;; Ultimus Managers Trust Ultimus ETF Master Services Agreement April 21, 2021 11
(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) each Fund’s listing notice from the applicable securities exchange;
(H) the Trust’s current prospectus and statement of additional information for each Fund;
(HI) 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;
(IJ) 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;
(JK) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fund;
(KL) copies of the current underwriting agreement for each Fund;
(LM) contact information for each Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, transfer agent and/or index receipt agent, independent accountants, legal counsel, underwriter underwriter, lead market maker, securities exchange where shares will be listed, and chief compliance officer; and
(MN) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Etf Master Services Agreement (Ultimus Managers Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust Fund will furnish to Ultimus the following, provided, however, that any documents publicly filed and electronically shall be deemed furnished to Ultimus:
(A) copies of the Declaration of Trust 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 TrustFund’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 Fund to execute and deliver this Agreement and authorization for specified officers of the Trust Fund to instruct Ultimus thereunder;
(D) a list of all the officers of the Trustpersons, together with specimen signatures of those officers persons, who are authorized to instruct Uxxxxxx in all matters;
(E) the TrustFund’s registration statement and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company ActSEC;
(F) the TrustFund’s notification of registration under the Investment Company Act on Form N-8A as filed with the SECAct;
(G) the TrustFund’s current prospectus and statement of additional information for each Fundinformation;
(H) an accurate, current list of shareholders of each existing series of the Trust, if applicable, 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 Trust Fund under Rule 12b-1 under the Investment Company Act for each FundAct, if applicable;
(J) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each the Fund;
(K) copies of the current underwriting distribution agreement for each the Fund, if applicable;
(L) contact information for each the Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, current transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(M) a copy of procedures adopted by the Trust Fund in accordance with Rule 38a-1 under the Investment Company Act.. Ultimus Master Services Agreement
Appears in 1 contract
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Client, on behalf of 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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
; (IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
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;; Ultimus Master Services Agreement
(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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
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;; Ultimus Master Services Agreement
(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.
Appears in 1 contract
Samples: Master Services Agreement (Texas Capital Funds Trust)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust Administrator on behalf of the Trust, will furnish to Ultimus the following:
(A) copies of the Trust’s 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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
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 '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 Xxxxxxx in all matters;
(E) the Trust’s '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 's notification of registration under the Investment Company Act on Form N-8A as filed with the SEC;
(G) the Trust’s '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 '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 's service providers, including, but not limited to, the Fund’s 's administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; andand Centaur Mutual Funds Trust Ultimus Master Services Agreement
(M) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Master Services Agreement (Centaur Mutual Funds Trust)
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;; Ultimus Master Services Agreement Foreside Management Services, LLC
(CB) 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;
(DC) a list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Ultimus in all matters;
(ED) the Trust’s registration statement on Form N-1A relating to a Fund and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 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;
(HE) an accurate, 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;
(IF) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JG) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KH) copies of the current underwriting agreement for each Fund;
(LI) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(MJ) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
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 Xxxxxxx 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’s listing notice from the applicable securities exchange;
(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 and/or index receipt agent, independent accountants, legal counsel, underwriter underwriter, lead market maker, securities exchange where shares will be listed, 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.
Appears in 1 contract
Samples: Etf Master Services Agreement (Segall Bryant & Hamill Trust)
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 Ultimus 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
and (M) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust Fund will furnish to Ultimus 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 TrustFund’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 Fund to execute and deliver this Agreement and authorization for specified officers of the Trust Fund to instruct Ultimus Service Provider thereunder;
(D) a list of all the officers of the TrustFund, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Service Provider in all matters;
(E) the Trust’s registration statement on Form N-2 and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, accurate current list of shareholders of each existing series of the TrustFund, if applicable, showing each shareholder’s address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
(IH) copies of the current plan of distribution adopted by the Trust Fund under Rule 12b-1 under the Investment Company 1940 Act for each the Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each the Fund;
(KJ) copies of the current underwriting agreement for each the Fund;
(LK) contact information for each the Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust Fund in accordance with Rule 38a-1 under the Investment Company 1940 Act. The parties will deem such documents delivered if they are publicly available to Service Provider.
Appears in 1 contract
Samples: Master Fund Services Agreement (SKK Access Income Fund LP)
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, 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;; EntrepreneurShares Series TrustTM Ultimus ETF Master Services Agreement
(D) a list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Ultimus 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) each Fund’s listing notice from the applicable securities exchange;
(H) the Trust’s current prospectus and statement of additional information for each Fund;
(HI) 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;
(IJ) 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;
(JK) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fund;
(KL) copies of the current underwriting agreement for each Fund;
(LM) contact information for each Fund’s service providers, including, but not limited to, the Fund’s administrator, custodian, transfer agent and/or index receipt agent, independent accountants, legal counsel, underwriter underwriter, lead market maker, securities exchange where shares will be listed, and chief compliance officer; and
(MN) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Etf Master Services Agreement (EntrepreneurShares Series Trust)
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;; Ultimus Master Services Agreement
(D) a list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx Ultimus 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.
Appears in 1 contract
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Client, on behalf of the Trust will furnish to Ultimus Xxxxxxx 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 Xxxxxxx in all matters;
(E) the Trust’s registration statement on Form N-IA and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
; (IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 l 2b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
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 Xxxxxxx in all matters;
(E) the Trust’s registration statement on Form N-1A and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust BDC will furnish to Ultimus Uxxxxxx the following:
(A) copies of the Declaration of Trust Organizational Documents 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 BDC to execute and deliver this Agreement and authorization for specified officers of the Trust BDC to instruct Ultimus thereunder;
(DC) a list of all the officers of the TrustBDC, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx in all matters;
(ED) 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 TrustBDC’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;
(HE) an accurate, current list of shareholders of each existing series of the TrustBDC, if applicable, showing each shareholder’s address of record, number of shares owned and whether such shares are represented by outstanding share certificates;
(IF) copies of the current plan of distribution adopted by the Trust BDC under Rule 12b-1 under the Investment Company Act for each Fundthe BDC, if applicable;
(JG) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each Fundthe BDC;
(KH) copies of the current underwriting agreement for each Fundthe BDC, if applicable;
(LI) contact information for each Fundthe BDC’s service providers, including, but not limited to, the FundBDC’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(MJ) a copy of procedures adopted by the Trust BDC in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Transfer Agent Services Agreement (BIP Ventures Evergreen BDC)
Prior to the Agreement Effective Date. Prior to the Agreement Effective Date, the Trust Fund will furnish to Ultimus the following:
(A) copies of the Declaration Fund’s Certificate of Trust and of any amendments thereto, certified by the proper official of the state in which such document has been filed;
(B) the TrustFund’s Agreement and Declaration of Trust and 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 Fund to execute and deliver this Agreement and authorization for specified officers of the Trust Fund to instruct Ultimus thereunder;; Ultimus Master Services Agreement
(D) a list of all the officers of the TrustFund, together with specimen signatures of those officers who are authorized to instruct Uxxxxxx in all matters;
(E) the TrustFund’s registration statement and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company ActSEC;
(F) the TrustFund’s notification of registration under the Investment Company Act on Form N-8A as filed with the SECAct;
(G) the TrustFund’s current prospectus and statement of additional information for each Fundinformation;
(H) an accurate, current list of shareholders of each existing series of the Trust, if applicable, 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 Trust Fund under Rule 12b-1 under the Investment Company Act for each FundAct, if applicable;
(J) copies of the current investment advisory agreement and current investment sub-advisory agreement(s), if applicable, for each the Fund;
(K) copies of the current underwriting agreement for each the Fund;
(L) contact information for each 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 Trust Fund in accordance with Rule 38a-1 under the Investment Company Act.
Appears in 1 contract
Samples: Master Services Agreement (Flat Rock Enhanced Income Fund)
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 Ultimus in all matters;
(E) the Trust’s registration statement on Form N-2 and all amendments thereto filed with the SEC pursuant to the Securities Act and the Investment Company 1940 Act;; Ultimus Master Services Agreement June 1, 2016
(F) the Trust’s notification of registration under the Investment Company 1940 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, 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;
(IH) copies of the current plan of distribution adopted by the Trust under Rule 12b-1 under the Investment Company 1940 Act for each Fund, if applicable;
(JI) copies of the current investment advisory agreement and current investment sub-advisory agreement(s)agreement, if applicable, for each Fund;
(KJ) copies of the current underwriting agreement for each Fund;
(LK) contact information for each Fund’s service providers, including, including but not limited to, the Fund’s administrator, custodian, transfer agent, independent accountants, legal counsel, underwriter and chief compliance officer; and
(ML) a copy of procedures adopted by the Trust in accordance with Rule 38a-1 under the Investment Company 1940 Act.
Appears in 1 contract
Samples: Master Services Agreement (Cross Shore Discovery Fund)
