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")
Draft, May 9, 2011
Schedule A
to the Investment Advisory Agreement dated April 25, 2003 between
The Guinness Xxxxxxxx Funds (the "Trust") and
Guinness Xxxxxxxx Asset Management Inc.
(formerly Guinness Xxxxxxxx Asset Management, LLC)
(the "Advisory Agreement")
|
Name of Fund
|
Fee 1
|
Date Added
|
|
1. Guinness Xxxxxxxx China & Hong Kong Fund
|
1.00%
|
April 25, 2003
|
|
2. Guinness Xxxxxxxx Asia Focus Fund
|
1.00%
|
April 25, 2003
|
|
3. Guinness Xxxxxxxx Global Innovators Fund
|
0.75%2
|
April 25, 2003
|
|
4. Guinness Xxxxxxxx Global Energy Fund
|
0.75% 3
|
May 7, 2004
|
|
5. Guinness Xxxxxxxx Alternative Energy Fund
|
1.00%
|
February 24, 2006
|
|
6. Guinness Atkinson Asia-Pacific Dividend Fund
|
1.00%
|
February 24, 2006
|
|
7. Guinness Xxxxxxxx Xxxxxxxx Xxxx & Bond Fund
|
0.55%
|
May 9, 2011
|
|
1.
|
As a percentage of average daily net assets. Note, however, that the Adviser shall have the right, but not the obligation, to voluntarily waive or defer any portion of the advisory fee from time to time.
|
|
2.
|
Prior to November 1,2005, the annual advisory fee for this Fund was equal to 0.90% of the Fund's average daily net assets up to $100 million; 0.75% of average daily net assets between $ 100 and $500 million, and 0.60% of average daily net assets in excess of $500 million.
|
|
3.
|
Prior to November 1, 2005, the annual advisory fee for this Fund was equal to 0.90% of the Fund's average daily net assets.
|
Current as of February 24, 2006
Clarification of Renewal Date
The Trust and the Adviser hereby agree that the Advisory Agreement shall continue from year to year so long as such continuance is specifically approved at least annually by the Trust's Board of Trustees, including a majority of the Trustees who are neither parties to the Agreement nor "interested persons" (as defined in the Investment Company Act of 1940, as amended) of the Trust, no later than May 31 of each year, such continuance becoming effective May 31 of that year.
Xxxxxx and accepted this 5th day of May 2006
|
GUINNESS XXXXXXXX FUNDS
|
GUINNESS XXXXXXXX ASSET
|
|||
|
MANAGEMENT INC.
|
||||
|
By:
|
By:
|
|||
|
Name:
|
Name:
|
|||
|
Title:
|
Title:
|
|||
