BETWEENInvestment Advisory Agreement • April 25th, 1997 • Guinness Flight Investment Funds Inc
WITNESSETH:Administration Agreement • August 28th, 1998 • Guinness Flight Investment Funds
Exhibit (e) DISTRIBUTION AGREEMENT THIS AGREEMENT is made and entered into as of this 1st day of October, 2001, by and between INVESTEC FUNDS, a Delaware business trust ("Trust"), and QUASAR DISTRIBUTORS, LLC, a Delaware limited liability company...Distribution Agreement • March 1st, 2002 • Investec Funds • Wisconsin
CUSTODIAN AGREEMENT Between GUINNESS FLIGHT INVESTMENT FUNDS, INC. and INVESTORS BANK & TRUST COMPANYCustodian Agreement • August 28th, 1998 • Guinness Flight Investment Funds • Massachusetts
FORM OFGuinness Flight Investment Funds Inc • March 20th, 1997
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • August 28th, 1998 • Guinness Flight Investment Funds • Massachusetts
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • April 28th, 2003 • Investec Funds
EXPENSE REIMBURSEMENT AGREEMENTExpense Reimbursement Agreement • April 28th, 2003 • Investec Funds
AGREEMENT, dated as of April 25, 2003, by and between GUINNESS ATKINSON FUNDS (the "Trust"), on behalf of Guinness Atkinson Asia Focus Fund, Guinness Atkinson China & Hong Kong Fund, and Guinness Atkinson Global Innovators Fund (the "Funds"), and GUINNESS ATKINSON ASSET MANAGEMENT, LLC (the "Adviser").
ASSIGNMENT AND ASSUMPTION WHEREAS, Guinness Flight Investment Funds, Inc., a Maryland corporation (the "Company") and State Street Bank and Trust Company, a Massachusetts trust company (the "Bank") have entered into a Transfer Agency and Service...Assignment and Assumption • April 25th, 1997 • Guinness Flight Investment Funds Inc • Massachusetts
DISTRIBUTION AGREEMENTDistribution Agreement • April 28th, 2017 • Guinness Atkinson Funds • Delaware
THIS AGREEMENT is made and entered into as of July 15, 2016, by and between Guinness Atkinson Funds, a Delaware statutory trust with its principal office and place of business at 21550 Oxnard Street, Suite 850, Woodland Hills, California 91367 (the “Client”) and Foreside Fund Services, LLC a Delaware limited liability company, with its principal office and place of business at Three Canal Plaza, Suite 100, Portland, ME 04101 (the “Distributor”).
ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • June 28th, 2019 • Guinness Atkinson Funds • Delaware
This Distribution Agreement (the “Agreement”) is made this __ day of ______, 2019, by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust (the “Trust”) having its principal place of business at ____________, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
FORM OF PENSERRA CAPITAL MANAGEMENT LLC SUB-ADVISORY AGREEMENTSub-Advisory Agreement • November 2nd, 2020 • Guinness Atkinson Funds • New York
Sub-Advisory Agreement (this “Agreement”) entered into as of the ___ day of ___, 2010, by and between GUINNESS ATKINSON ASSET MANAGEMENT, INC., a Delaware corporation (the “Adviser”) and PENSERRA CAPITAL MANAGEMENT LLC, a registered investment advisor organized under the laws of the State of New York (the “Sub-Adviser”).
CUSTODIAN AGREEMENTCustodian Agreement • April 30th, 2010 • Guinness Atkinson Funds • New York
THIS AGREEMENT, dated as of ___________________, 2009, between GUINNESS ATKINSON FUNDS, a Delaware statutory trust (the Trust) on behalf of its series portfolios listed on Exhibit A hereto (each series portfolio, the Fund), registered with the U.S. Securities and Exchange Commission under the Investment Company Act of 1940 (the 1940 Act), and BROWN BROTHERS HARRIMAN & CO., a limited partnership formed under the laws of the State of New York (BBH&Co. or the Custodian).
FORM OF AUTHORIZED PARTICIPANT AGREEMENT Guinness Atkinson FundsAuthorized Participant Agreement • June 28th, 2019 • Guinness Atkinson Funds • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between Foreside Fund Services, LLC (the “Distributor”) and __________ (the “Participant”) and is subject to acceptance by [Name of Transfer Agent/Index Receipt Agent] (the “[Transfer Agent/Index Receipt Agent]”), and is further subject to acknowledgement and agreement by Guinness Atkinson Funds (the “Trust”), a series trust offering a number of portfolios of securities (each a “Fund” and collectively the “Funds”), solely with respect to Sections 4(c) and 12(c) herein. Capitalized terms used but not defined herein are defined in the current prospectus for each Fund as it may be supplemented or amended from time to time, and included in the Trust’s Registration Statement on Form N-1A, as it may be amended from time to time, or otherwise filed with the U.S. Securities and Exchange Commission (“SEC”) (together with such Fund’s Statement of Additional Information incorporated therein, the “Prospectus”).
This AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION ("Agreement") is made as of _______, 2001, between Investec Funds, a Delaware business trust (the "Trust"), on behalf of Investec Asia Small Cap Fund, a series of the Trust ("Acquiring Fund"),...Agreement and Plan of Reorganization and Liquidation • November 16th, 2001 • Investec Funds • Delaware
GENERAL DISTRIBUTION AGREEMENT AGREEMENT made April 28, 1997, and amended as of September 5, 1997, by and between the Guinness Flight Investment Funds, a Delaware business trust which may issue one or more series of shares (the "Guinness Funds"), and...General Distribution Agreement • August 28th, 1998 • Guinness Flight Investment Funds • Massachusetts
Form of ETF DISTRIBUTION AGREEMENTForm of Etf Distribution Agreement • November 2nd, 2020 • Guinness Atkinson Funds • Delaware
This Distribution Agreement (the “Agreement”) is made this __ day of ______, 2019, by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust (the “Trust”) having its principal place of business at ____________, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
FORM OF INVESTMENT ADVISORY AGREEMENT between GUINNESS ATKINSON FUNDS and GUINNESS ATKINSON ASSET MANAGEMENT, LLCInvestment Advisory Agreement • November 4th, 2019 • Guinness Atkinson Funds • Delaware
INVESTMENT ADVISORY AGREEMENT, dated as of _________________ 2019 by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust which may issue one or more series of shares of beneficial interest (the “Trust”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the “Advisor”), a Delaware corporation.
FORM OF ADMINISTRATIVE SERVICES AGREEMENT between GUINNESS ATKINSON FUNDS and GUINNESS ATKINSON ASSET MANAGEMENT, INC.Administrative Services Agreement • November 2nd, 2020 • Guinness Atkinson Funds • Delaware
ADMINISTRATIVE SERVICES AGREEMENT, dated as of _________________ 2020 by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust which may issue one or more series of shares of beneficial interest (the “Trust”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the “Adviser”), a Delaware corporation.
FORM OF AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT between GUINNESS ATKINSON FUNDS and GUINNESS ATKINSON ASSET MANAGEMENT, INC.Investment Advisory Agreement • November 2nd, 2020 • Guinness Atkinson Funds
AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT, dated as of _________, 2020 by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust which may issue one or more series of shares of beneficial interest (the "Trust"), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the "Adviser"), a Delaware corporation.
AMENDED AND RESTATED DISTRIBUTION AGREEMENTAmended and Restated Distribution Agreement • April 29th, 2004 • Guinness Atkinson Funds • Wisconsin
THIS AMENDED AND RESTATED AGREEMENT dated the 28th day of April, 2003 to the Distribution Agreement dated July 1, 1994, is made and entered into by and among Guinness Atkinson Funds, a Delaware statutory trust (the “Trust”), Guinness Atkinson Asset Management, LLC, a Delaware limited liability company (the “Advisor”) and Quasar Distributors, LLC, a Delaware limited liability company (the “Distributor”).
Amendment No. 1 to Fund Accounting and Services AgreementAccounting and Services Agreement • March 30th, 2012 • Guinness Atkinson Funds
This Amendment No. 1, dated as of February 21, 2012, to the Fund Accounting and Services Agreement (this “Amendment”), by and between Guinness Atkinson Funds, a Delaware statutory trust, having its principal place of business at 21550 Oxnard Street, Woodland Hills, CA 91367 (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation, having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”).
GUINNESS ATKINSON FUNDS AMENDMENT TO THE AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • April 30th, 2007 • Guinness Atkinson Funds
THIS AMENDMENT dated this ___ day of May, 2006, to the Amended and Restated Distribution Agreement, dated April 28, 2003, as amended August 23, 2005 and March 28, 2006, (the “Agreement”), is entered by and among Guinness Atkinson Funds, a Delaware statutory trust (the “Trust”), Guinness Atkinson Asset Management, Inc., a Delaware corporation (the “Advisor”) and Quasar Distributors, LLC, a Delaware limited liability company (the “Distributor”).
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT GUINNESS ATKINSON FUNDSExpense Limitation Agreement • April 26th, 2024 • Guinness Atkinson Funds
AGREEMENT, dated as of October 12, 2020, by and between GUINNESS ATKINSON FUNDS (the “Trust”), on behalf of its series as listed on Schedule A to this Agreement (each, a “Fund”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the “Adviser”).
GUINNESS ATKINSON FUNDS AMENDMENT TO THE AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • April 30th, 2007 • Guinness Atkinson Funds
THIS AMENDMENT dated the 28th day of March, 2006, to the Amended and Restated Transfer Agent Servicing Agreement dated April 28, 2003, as amended August 29, 2005, (the "Agreement"), is entered by and between Guinness Atkinson Funds, a Delaware statutory trust (the “Trust”) and U.S. Bancorp Fund Services, LLC, a Wisconsin limited liability company ("USBFS").
Exhibit A to the Guinness Atkinson Amended and Restated Transfer Agent Servicing Agreement Fund Names Separate Series of Guinness Atkinson FundsGuinness Atkinson Funds • March 30th, 2012
Name of Series Date Added Guinness Atkinson Asia Focus Fund 4-28-03 Guinness Atkinson China & Hong Kong Fund 4-28-03 Guinness Atkinson Global Innovators Fund 4-28-03 Guinness Atkinson Global Energy Fund 6-30-04 Guinness Atkinson Alternative Energy Fund 3-31-06 Guinness Atkinson Asia Pacific Dividend Fund 3-31-06 Guinness Atkinson Renminbi Yuan & Bond Fund 6-30-11 Guinness Atkinson Inflation Managed Dividend Fund 3-30-12
GUINNESS ATKINSON FUNDS AMENDMENT TO THE AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • April 30th, 2008 • Guinness Atkinson Funds
THIS AMENDMENT dated the 29 day of August, 2005, to the Amended and Restated Transfer Agent Servicing Agreement, dated April 28, 2003 (the "Agreement"), is entered by and between Guinness Atkinson Funds, a Delaware statutory trust (the “Trust”) and U.S. Bancorp Fund Services, LLC, a Wisconsin limited liability company ("USBFS").
Form of 5th AMENDMENT TO FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • November 2nd, 2020 • Guinness Atkinson Funds
THIS AMENDMENT dated October 12, 2020 to the Fund Administration Servicing Agreement dated September 14, 2009 (the “Agreement”), as amended from time to time, is entered by and between Guinness Atkinson Funds, a Delaware statutory trust (the “Trust”) and Mutual Fund Administration, LLC, a California limited liability company (“MFAC LLC”).
GUINNESS ATKINSON FUNDS FORM OF SHAREHOLDER SERVICING AGREEMENTShareholder Servicing Agreement • April 27th, 2005 • Guinness Atkinson Funds • California
We, Guinness Atkinson Funds (the “Trust”), wish to enter into this Shareholder Servicing Agreement with the undersigned Financial Intermediary (“you”) concerning the provision of support services to your clients (“Clients”) who may from time to time beneficially own shares of the series that we offer (each a “Fund”), as set forth in Schedule I, as amended from time to time.
Exhibit A to the Guinness Atkinson Amended and Restated Distribution Agreement Fund Names Separate Series of Guinness Atkinson FundsGuinness Atkinson Funds • March 30th, 2012
Name of Series Date Added Guinness Atkinson Asia Focus Fund 4-28-03 Guinness Atkinson China & Hong Kong Fund 4-28-03 Guinness Atkinson Global Innovators Fund 4-28-03 Guinness Atkinson Global Energy Fund 6-30-04 Guinness Atkinson Alternative Energy Fund 3-31-06 Guinness Atkinson Asia Pacific Dividend Fund 3-31-06 Guinness Atkinson Renminbi Yuan & Bond Fund 6-30-11 Guinness Atkinson Inflation Managed Dividend Fund 3-30-12
GUINNESS ATKINSON FUNDS AMENDMENT TO THE AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • April 30th, 2008 • Guinness Atkinson Funds
THIS AMENDMENT dated this 17 day of May, 2006, to the Amended and Restated Distribution Agreement, dated April 28, 2003, as amended August 23, 2005 and March 28, 2006, (the “Agreement”), is entered by and among Guinness Atkinson Funds, a Delaware statutory trust (the “Trust”), Guinness Atkinson Asset Management, Inc., a Delaware corporation (the “Advisor”) and Quasar Distributors, LLC, a Delaware limited liability company (the “Distributor”).
GUINNESS ATKINSON AMENDMENT TO THE AMENDED AND RESTATED DISTRIBUTION AGREEMENTDistribution Agreement • April 30th, 2008 • Guinness Atkinson Funds
THIS AMENDMENT dated this 23rd day of August, 2005, to the Distribution Agreement, dated as of April 28, 2003, (the “Agreement”), is entered by and between Guinness Atkinson Funds, a Delaware statutory trust (the “Trust”), Guinness Atkinson Asset Management, LLC, a Delaware limited liability company (the “Advisor”) and Quasar Distributors, LLC, a Delaware limited liability company (the “Distributor”).
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT GUINNESS ATKINSON FUNDSExpense Limitation Agreement • August 6th, 2024 • Guinness Atkinson Funds
AGREEMENT, dated as of December 1, 2023, by and between GUINNESS ATKINSON FUNDS (the “Trust”), on behalf of its series as listed on Schedule A to this Agreement (each, a “Fund”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the “Adviser”).
Schedule A to the Investment Advisory Agreement dated April 25, 2003 between The Guinness Atkinson Funds (the "Trust") and Guinness Atkinson Asset Management Inc. (formerly Guinness Atkinson Asset Management, LLC) (the "Advisory Agreement")Guinness Atkinson Funds • June 30th, 2011
Name of Fund Fee 1 Date Added 1. Guinness Atkinson China & Hong Kong Fund 1.00% April 25, 2003 2. Guinness Atkinson Asia Focus Fund 1.00% April 25, 2003 3. Guinness Atkinson Global Innovators Fund 0.75%2 April 25, 2003 4. Guinness Atkinson Global Energy Fund 0.75% 3 May 7, 2004 5. Guinness Atkinson Alternative Energy Fund 1.00% February 24, 2006 6. Guinness Atkinson Asia-Pacific Dividend Fund 1.00% February 24, 2006 7. Guinness Atkinson Renminbi Yuan & Bond Fund 0.55% May 9, 2011
EXPENSE LIMITATION AGREEMENT GUINNESS ATKINSON FUNDSExpense Limitation Agreement • April 26th, 2024 • Guinness Atkinson Funds
AGREEMENT, dated as of November 11, 2020, by and between GUINNESS ATKINSON FUNDS (the “Trust”), on behalf of its series as listed on Schedule A to this Agreement (each, an “ETF”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the “Adviser”).
