Common use of Representations and Warranties of ALPS Clause in Contracts

Representations and Warranties of ALPS. ALPS represents and warrants to the Trust that: (a) It is duly organized and existing as a corporation and in good standing under the laws of the State of Colorado. (b) It is empowered under applicable laws and by its Articles of Incorporation and By-laws to enter into and perform this Agreement. (c) All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement. (d) It is a broker-dealer registered with the SEC under the 1934 Act and a member of FINRA, and will continue to be such during the term of this Agreement. (e) It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement in accordance with industry standards. (f) ALPS has conducted a review of its supervisory controls system and has made available to the Trust the most current report of such review and any updates thereto. Every time ALPS conducts a review of its supervisory control system it will make available to the Trust for inspection a report of such review and any updates thereto. ALPS shall immediately notify the Trust of any changes in how it conducts its business that would materially change the results of its most recent review of its supervisory controls system and any other changes to ALPS’ business that would affect the business of the Trust or the Funds’ investment adviser. (g) ALPS is a Direct Participant in the Depository Trust Company’s book-entry system and will continue to be during the term of this Agreement.

Representations and Warranties of ALPS. ALPS represents and warrants to the Trust Cortina that: (a) It is duly organized and existing as a corporation and in good standing under the laws of the State of Colorado. (b) It is registered as a broker-dealer under the 1934 Act and a member in good standing of FINRA. (c) It is empowered under applicable laws and by its Articles of Incorporation and By-laws to enter into and perform this Agreement. (cd) All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement. (d) It is a broker-dealer registered with the SEC under the 1934 Act and a member of FINRA, and will continue to be such during the term of this Agreement. (e) It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement in accordance with industry standards. (f) ALPS has conducted a review of its supervisory controls system and has made available to the Trust Cortina the most current report of such review and any updates thereto. Every time ALPS conducts a review of its supervisory control system it will make available to the Trust Cortina for inspection a report of such review and any updates thereto. ALPS shall immediately notify the Trust Cortina of any changes in how it conducts its business that would materially change the results of its most recent review of its supervisory controls system and any other changes to ALPS’ ’s business that would affect the business of the Trust Cortina or the Funds’ investment adviser. (g) ALPS is a Direct Participant in the Depository Trust Company’s book-entry system and will continue to be during the term of this Agreement.

Representations and Warranties of ALPS. ALPS represents and warrants to the Trust that: (a) It is duly organized and existing as a corporation and in good standing under the laws of the State of Colorado. (b) It is empowered under applicable laws and by its Articles of Incorporation and By-laws to enter into and perform this Agreement. (c) It is registered as a broker-dealer under the 1934 Act, is a member of FINRA and has the necessary license(s) and authority to serve as distributor to the Funds and provide the services set forth hereunder and in Appendix B. (d) All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement. (d) It is a broker-dealer registered with the SEC under the 1934 Act and a member of FINRA, and will continue to be such during the term of this Agreement. (e) It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement in accordance with industry standards. (f) ALPS has conducted a review of its supervisory controls system and has made available to the Trust the most current report of such review and any updates thereto. Every time ALPS conducts a review of its supervisory control system it will make available to the Trust for inspection a report of such review and any updates thereto. ALPS shall immediately notify the Trust of any changes in how it conducts its business that would materially change the results of its most recent review of its supervisory controls system and any other changes to ALPS’ business that would affect the business of the Trust or the Funds’ investment adviser. (g) ALPS is It maintains a Direct Participant compliance program reasonably designed to prevent violations of the federal securities laws (as defined in Rule 38a-1 under the Depository Trust Company’s book-entry system and will continue 0000 Xxx) applicable to be during the term of this Agreementits services provided hereunder.

Representations and Warranties of ALPS. ALPS represents and warrants to the Trust that: (a) It is duly organized and existing as a corporation and in good standing under the laws of the State of Colorado.; (b) It is empowered under applicable laws and by its Articles of Incorporation and By-laws to enter into and perform this Agreement.; (c) It is registered as a broker-dealer with the SEC, and relevant states in which it conducts a broker-dealer business and where it will distribute the Shares, and is a member of FINRA and shall maintain all such registrations and memberships for the duration of this Agreement; (d) All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement. (d) It is a broker-dealer registered with the SEC under the 1934 Act and a member of FINRA, and will continue to be such during the term of this Agreement.; (e) It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement in accordance with industry standards.; and (f) ALPS It has conducted a review of its supervisory controls system and has made available to the Trust the most current report of such review and any updates thereto. Every time ALPS conducts a review of its supervisory control system it will make available to the Trust for inspection a report of such review and any updates thereto. ALPS shall immediately notify the Trust of any changes in how it conducts its business that would materially change the results of its most recent review of its supervisory controls system and any other changes to ALPS’ ’s business that would affect the business of the Trust Funds or the Funds’ investment adviser. (g) ALPS is a Direct Participant in the Depository Trust Company’s book-entry system and will continue to be during the term of this Agreement.

Representations and Warranties of ALPS. ALPS represents and warrants to the Trust that: (a) It is duly organized and existing as a corporation and in good standing under the laws of the State of Colorado. (b) It is empowered under applicable laws and by its Articles of Incorporation and By-By laws to enter into and perform this Agreement. (c) All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement. (d) It is a broker-dealer registered with the SEC under the 1934 Act and a member of FINRA, and will continue to be such during the term tenn of this Agreement. (e) It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement in accordance with industry standards. (f) ALPS has conducted a review of its supervisory controls system and has made available to the Trust the most current report of such review and any updates thereto. Every time ALPS conducts a review a.xxxxxx of its supervisory control system it will make available to the Trust for inspection a report of such review and any updates thereto. ALPS shall immediately notify the Trust of any changes in how it conducts its business that would materially change the results of its most recent review of its supervisory controls system and any other changes to ALPS’ ' business that would affect the business of the Trust or the Funds’ ' investment adviser. (g) ALPS is a Direct Participant in the Depository Trust Company’s 's book-entry system and will continue to be during the term of this Agreement.

Representations and Warranties of ALPS. ALPS represents and warrants to the Trust that: (a) It is duly organized and existing as a corporation and in good standing under the laws of the State of Colorado. (b) It is empowered under applicable laws and by its Articles of Incorporation and By-laws Bylaws to enter into and perform this Agreement. (c) All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement. (d) It is a broker-dealer registered with the SEC under the 1934 Act and a member of FINRA, and will continue to be such during the term of this Agreement. (e) It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement in accordance with industry standards. (fI) ALPS has conducted a review of its supervisory controls system and has made available to the Trust the most current report of such review and any updates thereto. Every time ALPS conducts a review of its supervisory control system it will make available to the Trust for inspection a report of such review and any updates thereto. ALPS shall immediately notify the Trust of any changes in how it conducts its business that would materially change the results of its most recent review of its supervisory controls system and any other changes to ALPS’ business that would affect the business of the Trust or the Funds’ investment adviser. (g) ALPS is a Direct Participant in the Depository Trust Company’s book-entry system and will continue to be during the term of this Agreement.

Representations and Warranties of ALPS. ALPS represents and warrants to the Trust Fund that: (a) It is duly organized and existing as a corporation and in good standing under the laws of the State of Colorado. (b) It is empowered under applicable laws and by its Articles of Incorporation and By-laws to enter into and perform this Agreement. (c) It has obtained and will at all times maintain all necessary approvals, consents, authorizations, licenses and registrations necessary for the purposes of the performance of its duties and obligations under this Agreement. (d) All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement. (d) It is a broker-dealer registered with the SEC under the 1934 Act and a member of FINRA, and will continue to be such during the term of this Agreement. (e) It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement in accordance with industry standards. (f) ALPS has conducted a review of its supervisory controls system and has made available to the Trust Fund the most current report of such review and any updates thereto. Every time ALPS conducts a review of its supervisory control system it will make available to the Trust Fund for inspection a report of such review and any updates thereto. ALPS shall immediately notify the Trust Fund of any changes in how it conducts its business that would materially change the results of its most recent review of its supervisory controls system and any other changes to ALPS’ business that would affect the business of the Trust Fund or the Funds’ Fund’s investment adviser. (g) ALPS is a Direct Participant in the Depository Trust Company’s book-entry system and will continue to be during the term of this Agreement.