Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees of the Trust and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF Fund. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s objectives, as set forth in the Trust’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested. b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust. c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.
Appears in 34 contracts
Samples: Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees of the Trust and supervision by DFA, DFA Australia DFAL to furnish, at DFA AustraliaDFAL’s expense, the services described below with respect to the ETF Fund:
a. DFA Australia DFAL shall have the authority and responsibility to select eligible investments and brokers or dealers to execute purchases and sales of eligible securities for the ETF Fund. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF Fund’s objectives, objectives as set forth in the Trust’s registration statement, prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of securities being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaDFAL’s performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the Trust. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia DFAL shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the Trust.
c. DFA Australia DFAL shall periodically provide DFA with data concerning the international United Kingdom and European markets, ; and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedulesissuers in United Kingdom and European markets. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European market companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.
Appears in 22 contracts
Samples: Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia DFAL to furnish, at DFA AustraliaDFAL’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia DFAL shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of securities being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, By-Lawsamended and restated bylaws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaDFAL’s performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustFund. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
. b. DFA Australia DFAL shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the Trust.
Fund. c. DFA Australia DFAL shall periodically provide DFA with data concerning the international United Kingdom and European markets, ; and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedulesissuers in United Kingdom and European markets. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European market companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 20 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia DFAL to furnish, at DFA AustraliaDFAL’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia DFAL shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of securities being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, By-Lawsamended and restated bylaws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaDFAL’s performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustFund. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia DFAL shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the TrustFund.
c. DFA Australia DFAL shall periodically provide DFA with data concerning the international United Kingdom and European markets, ; and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedulesissuers in United Kingdom and European markets. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European market companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 16 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 16 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.redemption
Appears in 12 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees of the Trust and supervision by DFA, DFA Australia DFAL to furnish, at DFA AustraliaDFAL’s expense, the services described below with respect to the ETF Fund:
: a. DFA Australia DFAL shall have the authority and responsibility to select eligible investments and brokers or dealers to execute purchases and sales of eligible securities for the ETF Fund. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF Fund’s objectives, objectives as set forth in the Trust’s registration statement, prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of securities being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaDFAL’s performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the Trust. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
. b. DFA Australia DFAL shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the Trust.
. c. DFA Australia DFAL shall periodically provide DFA with data concerning the international United Kingdom and European markets, ; and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedulesissuers in United Kingdom and European markets. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European market companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.
Appears in 12 contracts
Samples: Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.redemption
Appears in 10 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 8 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s 's expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “"1940 Act”"). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s Portfolio's objectives, as set forth in the Trust’s Fund's registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement Fund's Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s 's performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“"execution schedules”"), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s Portfolio's holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 8 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia DFAL to furnish, at DFA Australia’s DFAL's expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia DFAL shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “"1940 Act”"). In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF Fund’s objectives, Portfolio's objectives as set forth in the Trust’s registration statement, Fund's prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of securities being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the Trust’s Agreement Fund's Amended and Declaration Restated Articles of TrustIncorporation, By-Lawsamended and restated bylaws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA Australia’s DFAL's performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“"execution schedules”"), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF Fund’s Portfolio's holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustFund. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia DFAL shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the TrustFund.
c. DFA Australia DFAL shall periodically provide DFA with data concerning the international United Kingdom and European markets, ; and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedulesissuers in United Kingdom and European markets. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European market companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 8 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia DFAL to furnish, at DFA AustraliaDFAL’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia DFAL shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”)amended. In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of stocks being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, By-Lawsamended and restated bylaws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaDFAL’s performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustFund. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia DFAL shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the TrustFund.
c. DFA Australia DFAL shall periodically provide DFA with data concerning the international markets, United Kingdom and European equity market; and it shall maintain and provide to DFA current financial information with respect to specific international securities United Kingdom and European equity market stocks on the execution schedules. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European equity market small companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 8 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.redemption
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 6 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia DFAL to furnish, at DFA AustraliaDFAL’s expense, the services described below with respect to the ETF FundPortfolio if requested by DFA:
a. DFA Australia DFAL shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”)amended. In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of stocks being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, By-Lawsamended and restated bylaws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaDFAL’s performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustFund. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia DFAL shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the TrustFund.
c. DFA Australia DFAL shall periodically provide DFA with data concerning the international markets, United Kingdom and European equity market; and it shall maintain and provide to DFA current financial information with respect to specific international securities United Kingdom and European equity market stocks on the execution schedules. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European equity market small companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 6 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia DFAL to furnish, at DFA AustraliaDFAL’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia DFAL shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”)amended. In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of stocks being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, By-Lawsamended and restated bylaws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaDFAL’s performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustFund. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
. b. DFA Australia DFAL shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the Trust.
Fund. c. DFA Australia DFAL shall periodically provide DFA with data concerning the international markets, United Kingdom and European equity market; and it shall maintain and provide to DFA current financial information with respect to specific international securities United Kingdom and European equity market stocks on the execution schedules. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European equity market small companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 6 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundSeries:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundSeries. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s Series’ objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Amended and Restated Agreement and Declaration of Trust, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Series (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s Series’ holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Series as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Series as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundSeries.
Appears in 6 contracts
Samples: Sub Advisory Agreement (Dfa Investment Trust Co), Sub Advisory Agreement (Dfa Investment Trust Co), Sub Advisory Agreement (Dfa Investment Trust Co)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees of the Trust and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF Fund. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s objectives, as set forth in the Trust’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.they
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.
Appears in 5 contracts
Samples: Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia DFAL to furnish, at DFA AustraliaDFAL’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia DFAL shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of stocks being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, By-Lawsamended and restated bylaws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaDFAL’s performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustFund. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia DFAL shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the TrustFund.
c. DFA Australia DFAL shall periodically provide DFA with data concerning the international markets, United Kingdom and European equity market; and it shall maintain and provide to DFA current financial information with respect to specific international securities United Kingdom and European equity market stocks on the execution schedules. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European equity market small companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 5 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio if requested by DFA:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 5 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees of the Trust and supervision by DFA, DFA Australia DFAL to furnish, at DFA AustraliaDFAL’s expense, the services described below with respect to the ETF Fund:
: a. DFA Australia DFAL shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF Fund. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF Fund’s objectives, objectives as set forth in the Trust’s registration statement, prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of securities being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaDFAL’s performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the Trust. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
. b. DFA Australia DFAL shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the Trust.
. c. DFA Australia DFAL shall periodically provide DFA with data concerning the international United Kingdom and European markets, ; and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedulesissuers in United Kingdom and European markets. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European market companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.
Appears in 5 contracts
Samples: Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 5 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees of the Trust and supervision by DFA, DFA Australia DFAL to furnish, at DFA AustraliaDFAL’s expense, the services described below with respect to the ETF Fund:
a. DFA Australia DFAL shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF Fund. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia DFAL will act with a view to the ETF Fund’s objectives, objectives as set forth in the Trust’s registration statement, prospectus and otherwise communicated to DFA Australia DFAL by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of securities being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia DFAL of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, prospectus and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaDFAL’s performance under this Agreement. DFA will furnish to DFA Australia DFAL reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia DFAL in connection therewith, and may delegate to DFA Australia DFAL the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA AustraliaDFAL, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia DFAL is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia DFAL shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the Trust. DFA Australia DFAL shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia DFAL shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFAL, DFA Australia, DFA, and the Trust.
c. DFA Australia DFAL shall periodically provide DFA with data concerning the international United Kingdom and European markets, ; and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedulesissuers in United Kingdom and European markets. DFA Australia DFAL shall also furnish DFA with advice and information regarding securities of international United Kingdom and European market companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia DFAL shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.
Appears in 5 contracts
Samples: Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 5 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s 's expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA the Advisor and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “"1940 Act”"). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s Portfolio's objectives, as set forth in the Trust’s Fund's registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration Fund's Articles of TrustIncorporation, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s 's performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“"execution schedules”"), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s Portfolio's holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the certain international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities equity stocks on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 4 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, Amended and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.Restated
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 4 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement and Declaration Articles of TrustIncorporation, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.redemption
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s 's expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA the Advisor and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “"1940 Act”"). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s Portfolio's objectives, as set forth in the Trust’s Fund's registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration Fund's Articles of TrustIncorporation, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s 's performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“"execution schedules”"), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s Portfolio's holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international certain emerging markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities emerging markets equity stocks on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international emerging markets companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.and
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees of the Trust and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF Fund. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s objectives, as set forth in the Trust’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
. b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.redemption
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s 's expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “"1940 Act”"). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s Portfolio's objectives, as set forth in the Trust’s Fund's registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration Fund's Articles of TrustIncorporation, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s 's performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“"execution schedules”"), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s Portfolio's holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 3 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio if requested by DFA: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 2 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio if requested by DFA:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, ; and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, By-LawsAmended and Restated Bylaws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF FundPortfolio’s holdings, ; make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, ; and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line online communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia also shall also furnish DFA with advice and information regarding securities of international companies Asia Pacific companies, and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 2 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.redemption
Appears in 2 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.not
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 2 contracts
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc), Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees of the Trust and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF Fund. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s objectives, as set forth in the Trust’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF Fund.
Appears in 2 contracts
Samples: Sub Advisory Agreement (Dimensional ETF Trust), Sub Advisory Agreement (Dimensional ETF Trust)
Services to be Performed. DFA hereby employs, employs subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA the Advisor and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, ; and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, statement and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor not shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement and Declaration Articles of TrustIncorporation, By-Lawsbylaws, and registration statement, statement and any objectives not appearing therein, therein as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, DFA and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, Pacific Rim equity market; and it shall maintain and provide to DFA current financial information with respect to specific international securities Pacific Rim stocks on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Pacific Rim companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia London to furnish, at DFA AustraliaLondon’s expense, the services described below with respect to the ETF FundPortfolio if requested by DFA:
a. DFA Australia London shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia London will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, prospectus and otherwise communicated to DFA Australia London by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of stocks being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia London of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, By-LawsAmended and Restated Bylaws, and registration statementprospectus, and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaLondon’s performance under this Agreement. DFA will furnish to DFA Australia London reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia London in connection therewith, and may delegate to DFA Australia London the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF FundPortfolio’s holdings, ; make, itself or in consultation with DFA AustraliaLondon, any necessary adjustments to the execution schedules, ; and review the securities trading process and executions. DFA Australia London is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia London shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia London shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia London shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line online communications systems between DFA AustraliaLondon, DFA, and the TrustFund.
c. DFA Australia London shall periodically provide DFA with data concerning the international marketsUnited Kingdom and European equity market, and it shall maintain and provide to DFA current financial information with respect to specific international securities United Kingdom and European equity market stocks on the execution schedules. DFA Australia London also shall also furnish DFA with advice and information regarding securities of international companies United Kingdom and European equity market companies, and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia London shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s 's expense, the services described below with respect to the ETF FundPortfolio:
a. (a) DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “"1940 Act”"). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s Portfolio's objectives, as set forth in the Trust’s Fund's registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement Fund's Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s 's performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“"execution schedules”"), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s Portfolio's holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. (b) DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. (c) DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities Asia Pacific equity stocks on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated
b. Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. c. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. d. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia London to furnish, at DFA AustraliaLondon’s expense, the services described below with respect to the ETF Fund:
Portfolio if requested by DFA: a. DFA Australia London shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the maintenance of a trading desk; the determination of the best and most efficient means of purchasing and selling such portfolio securities in order to receive achieve best price and execution, ; and (ii) allocating the allocation of trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia London will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, prospectus and otherwise communicated to DFA Australia London by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation in the market prices of stocks being purchased or sold as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon reasonably possible under prevailing market circumstances as well as in light of the allocation size of tradesthe transaction being executed. DFA will advise DFA Australia London of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, By-LawsAmended and Restated Bylaws, and registration statementprospectus, and any objectives not appearing therein, therein as they may be relevant to DFA AustraliaLondon’s performance under this Agreement. DFA will furnish to DFA Australia London reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.with
c. DFA Australia London shall periodically provide DFA with data concerning the international marketsUnited Kingdom and European equity market, and it shall maintain and provide to DFA current financial information with respect to specific international securities United Kingdom and European equity market stocks on the execution schedules. DFA Australia London also shall also furnish DFA with advice and information regarding securities of international companies United Kingdom and European equity market companies, and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia London shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, employs subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s 's expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, ; and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s objectives, Portfolio's objectives as set forth in the Trust’s Fund's registration statement, statement and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration Fund's Articles of TrustIncorporation, By-Lawsbylaws, and registration statement, statement and any objectives not appearing therein, therein as they may be relevant to DFA Australia’s 's performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“"execution schedules”"), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF Fund’s Portfolio's holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustPortfolio. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, DFA and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, Asia Pacific equity market; and it shall maintain and provide to DFA current financial information with respect to specific international securities Asia Pacific stocks on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
a. Portfolio: (a) DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.such
b. (b) DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. (c) DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
. b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundSeries, if requested by DFA:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundSeries. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s Series’ objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Amended and Restated Agreement and Declaration of Trust, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Series (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s Series’ holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Series as DFA may reasonably request, on a daily basis basis, to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Series as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundSeries.
Appears in 1 contract
Services to be Performed. DFA hereby employs, employs subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA the Advisor and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, ; and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, statement and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement and Declaration Articles of TrustIncorporation, By-Lawsbylaws, and registration statement, statement and any objectives not appearing therein, therein as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustPortfolio. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, DFA and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, Asia Pacific equity market; and it shall maintain and provide to DFA current financial information with respect to specific international securities Asia Pacific stocks on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration of Trust, By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.
c. DFA Australia shall periodically provide DFA with data concerning the certain international markets, and it shall maintain and provide to DFA current financial information with respect to specific international securities equity stocks on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund, and supervision by DFA, DFA Australia to furnish, at DFA Australia’s 's expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA the Advisor and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, ; and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF Fund’s objectives, Portfolio's objectives as set forth in the Trust’s Fund's registration statement, statement and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the Trust’s Agreement and Declaration Fund's Articles of TrustIncorporation, By-Lawsbylaws, and registration statement, statement and any objectives not appearing therein, therein as they may be relevant to DFA Australia’s 's performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“"execution schedules”"), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF Fund’s Portfolio's holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustPortfolio. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-on- line communications systems between DFA Australia, DFA, DFA and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, Japanese and Pacific Rim equity market; and it shall maintain and provide to DFA current financial information with respect to specific international securities stocks on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Japanese and Pacific Rim small companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, employs subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA the Advisor and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, ; and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, objectives as set forth in the TrustFund’s registration statement, statement and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement and Declaration Articles of TrustIncorporation, By-Lawsbylaws, and registration statement, statement and any objectives not appearing therein, therein as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, basis DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, schedules and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, DFA from time to time, time or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, including without limitation, limitation the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, practices and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, DFA and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international markets, Asia Pacific equity market; and it shall maintain and provide to DFA current financial information with respect to specific international securities Asia Pacific stocks on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio to the extent requested by DFA: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF Fund:
Portfolio if requested by DFA: a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees of the Trust for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF Fund’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the Trust. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the Trust, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the Trust.not
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
Appears in 1 contract
Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)
Services to be Performed. DFA hereby employs, subject to approval by the Board of Trustees Directors of the Trust Fund and supervision by DFA, DFA Australia to furnish, at DFA Australia’s expense, the services described below with respect to the ETF FundPortfolio if requested by DFA:
a. DFA Australia shall have the authority and responsibility to select brokers or dealers to execute purchases and sales of eligible securities for the ETF FundPortfolio. Such authority and responsibility shall include, without limitation, (i) providing investment and ancillary services for DFA and determining the best and most efficient means of purchasing and selling such portfolio securities in order to receive best price and execution, and (ii) allocating trades among brokers and dealers, including any affiliate of the Trust Fund or of any investment advisor or affiliate thereof, subject to Section 17 of the Investment Company Act of 1940, as amended 1940 (the “1940 Act”). In carrying out its obligations hereunder, DFA Australia will act with a view to the ETF FundPortfolio’s objectives, as set forth in the TrustFund’s registration statement, and otherwise communicated to DFA Australia by DFA, including the objectives of receiving best price and execution for portfolio transactions and of causing as little price fluctuation as possible. DFA Australia shall not receive any commission or rebate from any broker or dealer to whom it allocates trades nor shall it receive any commission from DFA based upon the allocation of trades. DFA will advise DFA Australia of changes in the TrustFund’s Agreement Amended and Declaration Restated Articles of TrustIncorporation, Amended and Restated By-Laws, and registration statement, and any objectives not appearing therein, as they may be relevant to DFA Australia’s performance under this Agreement. DFA will furnish to DFA Australia XXX Xxxxxxxxx reports on cash available for investment and needed for redemption payments. DFA shall be responsible to the Board of Trustees Directors of the Trust Fund for the preparation of schedules of securities eligible for purchase and sale by the ETF Fund Portfolio (“execution schedules”), and shall prepare such schedules on at least a semi-annual basis, it being understood that DFA may consult with DFA Australia in connection therewith, and may delegate to DFA Australia the preparation of such schedules. On at least a semi-annual basis, DFA will review the ETF FundPortfolio’s holdings, make, itself or in consultation with DFA Australia, any necessary adjustments to the execution schedules, and review the securities trading process and executions. DFA Australia is authorized to have orders executed for more or fewer shares than set forth on the execution schedules when market conditions and other factors permit or require, provided that such variances from the execution schedules are within the parameters agreed to by DFA, from time to time, or in specific cases. DFA Australia shall report the results of all trading activities and all such other information relating to portfolio transactions for the ETF Fund Portfolio as DFA may reasonably request, on a daily basis to DFA and any other entity designated by DFA, including, without limitation, the custodian of the TrustFund. DFA Australia shall review and coordinate its agency trading and execution strategies, practices, and results with DFA as frequently as reasonably requested.
b. DFA Australia shall maintain, and periodically review with DFA and the TrustFund, policies and procedures necessary to ensure the effectiveness of on-line communications systems between DFA Australia, DFA, and the TrustFund.
c. DFA Australia shall periodically provide DFA with data concerning the international Asia Pacific markets, and it shall maintain and provide to DFA current financial information with respect to specific international Asia Pacific securities on the execution schedules. DFA Australia shall also furnish DFA with advice and information regarding securities of international Asia Pacific companies and shall provide DFA with such recommendations in connection with the investment therein by the ETF Fund Portfolio as DFA Australia shall deem necessary and advisable in light of the investment objective and policies of the ETF FundPortfolio.
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Samples: Sub Advisory Agreement (Dfa Investment Dimensions Group Inc)