Standard Contracts
UNDERWRITING AGREEMENT Between The DMS Funds and NORTHERN LIGHTS DISTRIBUTORS, LLCUnderwriting Agreement • October 22nd, 2012 • DMS Funds • Nebraska
Contract Type FiledOctober 22nd, 2012 Company JurisdictionTHIS UNDERWRITING AGREEMENT made the ______ day of ____________ 20____ by and between The DMS Funds, a Pennsylvania business trust, having its principal office and place of business at 2619 Leiscz’s Bridge Road, Suite 200, Leesport, Pennsylvania 19533 (the “Trust”), and NORTHERN LIGHTS DISTRIBUTORS, LLC, a Nebraska limited liability company having its principal office and place of business at 17605 Wright Street, Omaha, Nebraska 68130 (“NLD”).
TRANSFER AGENT AGREEMENTTransfer Agent Agreement • August 7th, 2012 • DMS Funds • Ohio
Contract Type FiledAugust 7th, 2012 Company JurisdictionTHIS AGREEMENT is made and entered into this _____ day of _______, 20__, by and between the DMS Funds (the “Trust”), a Pennsylvania business trust having its principal place of business at 2619 Leiscz’s Bridge Road, Suite 200, Leesport, PA 19533, and Mutual Shareholder Services, LLC, a Delaware Limited Liability Company (“MSS”).
ACCOUNTING SERVICES AGREEMENTAccounting Services Agreement • August 7th, 2012 • DMS Funds • Ohio
Contract Type FiledAugust 7th, 2012 Company JurisdictionTHIS AGREEMENT is made and entered into this _____ day of _______, 20__, by and between the DMS Funds (the “Trust”), a Pennsylvania business trust having its principal place of business at 2619 Leiscz’s Bridge Road, Suite 200, Leesport, PA 19533, and Mutual Shareholder Services, LLC, a Delaware Limited Liability Company (“MSS”).
TRI-PARTY AGREEMENT FOR DISTRIBUTION SERVICESDistribution Agreement • September 30th, 2013 • DMS Funds • Ohio
Contract Type FiledSeptember 30th, 2013 Company JurisdictionTHIS AGREEMENT is made as of September 1, 2013, between The DMS Funds (the “Trust” and/or Investment Company “IC”, or “Fund”), a Pennsylvania business Trust, DMS Advisors, Inc. the Registered Investment Advisor (the “RIA”) a Pennsylvania Corporation, and Arbor Court Capital, LLC (“ACC”), a limited liability corporation organized and existing under the laws of the State of Ohio.
INVESTMENT FACILITATION AGREEMENT Between IIFL Inc (Foreign Institutional Investor (“FII”)) AndInvestment Facilitation Agreement • August 7th, 2012 • DMS Funds
Contract Type FiledAugust 7th, 2012 CompanyIIFL Inc., a company incorporated under the laws of the State of New York, United States of America and having its registered office in New York ("FII"); And
LICENSE AGREEMENTLicense Agreement • August 7th, 2012 • DMS Funds
Contract Type FiledAugust 7th, 2012 CompanyINDIA INDEX SERVICES & PRODUCTS LIMITED, a Company incorporated under the Companies Act, 1956, having its Registered Office at Exchange Plaza, C-1, Block G, Bandra Kurla Complex, Bandra (East), Mumbai 400 051, India (hereinafter referred to as “IISL” or “Licensor”) which expression shall unless it be repugnant to the context or meaning thereof, be deemed to include its successors, legal representatives and permitted assigns) of the FIRST PART
Agreement for OMXBBTM Index Related Derivative ProductsLicense Agreement • March 22nd, 2013 • DMS Funds • New York
Contract Type FiledMarch 22nd, 2013 Company JurisdictionThis agreement (“Agreement”), dated as of December ___ 2012 (“Effective Date”), is made by and between The NASDAQ OMX Group, Inc. (“NASDAQ OMX”), a Delaware Corporation (NASDAQ OMX and its affiliates are collectively referred to as the “Corporations”) whose principal offices are located at One Liberty Plaza, 165 Broadway, New York, NY 10006 and The DMS Funds, a Pennsylvania business trust, (“Licensee”) whose principal offices are located at 2619 Leiscz’s Bridge Road, Suite 200, Leesport, Pennsylvania 19533. NASDAQ OMX and Licensee are collectively referred to as the “Parties” and individually as a “Party”.
LICENCE AGREEMENT FOR USE OF EXCHANGE INDEX NAME LICENCE AGREEMENT for use of exchange index nameLicense Agreement • August 12th, 2013 • DMS Funds
Contract Type FiledAugust 12th, 2013 CompanyWarsaw Stock Exchange with its seat in Warsaw, address: ul. Książęca 4, 00-498 Warsaw, registered by the District Court of the City of Warsaw, KRS number 82312, VAT No. 526-025-09-72, share capital of PLN 41,972,000 fully paid,
DIRECT CUSTODIAL SERVICES AGREEMENT DMS INDIA MIDCAP INDEX FUNDCustodial Services Agreement • July 24th, 2012 • DMS Funds • New York
Contract Type FiledJuly 24th, 2012 Company JurisdictionTHIS DIRECT CUSTODIAL SERVICES AGREEMENT is made as of April 17, 2012, individually and severally, by and among DMS India MidCap Index Fund, located at 2619 Leiscz’s Bridge Road, Suite 200, Leesport, PA 19533 (the “Client“), each Custodian and CITIBANK, N.A. acting through its offices located in the City of New York or as otherwise specified in writing to the Client (the “Bank“). The Client acknowledges that the Bank executes this Direct Custodial Services Agreement (i) on behalf of, with respect to signature only, each Custodian (ii) as principal only if and to the extent that the Bank acting through its offices in New York City or as otherwise specified in writing is selected and appointed as a Custodian and (iii) as principal solely with respect to the obligations of the Bank contained in Section 2(A) and Section 12(C) hereof.
THE DMS FUNDSMASTER INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • July 24th, 2012 • DMS Funds • Pennsylvania
Contract Type FiledJuly 24th, 2012 Company JurisdictionTHIS AGREEMENT is made as of this ____ day of July, 2012, between The DMS Funds (the “Fund”) and DMS Advisors, Inc., a Pennsylvania corporation (the “Adviser”).
THE DMS FUNDS MASTER INVESTMENT ADVISORY AGREEMENTMaster Investment Advisory Agreement • July 24th, 2013 • DMS Funds • Pennsylvania
Contract Type FiledJuly 24th, 2013 Company JurisdictionTHIS AGREEMENT is made as of this 26th day of July, 2012, between The DMS Funds (the “Fund”) and DMS Advisors, Inc., a Pennsylvania corporation (the “Adviser”).