FORM OF AMENDMENT TO ADMINISTRATIVE AGENCY AGREEMENT
FORM OF AMENDMENT
TO
ADMINISTRATIVE AGENCY AGREEMENT
THIS AMENDMENT TO ADMINISTRATIVE AGENCY AGREEMENT (this "Amendment") is made as of ___________, 2019 by and between XXXXX BROTHERS HARRIMA & CO., a limited partnership organized under the laws of the State of New York ("BBH&Co." or the "Administrator"), and GUINNESS ATKINSO FUNDS, a Delaware statutory trust (the "Trust"), on behalf of each of its series portfolios listed on Appendix A to the Agreement (each a "Portfolio" and collectively, the "Portfolios"), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
WHEREAS, the Administrator and the Trust entered into an Administrative Agency Agreement, dated as of July 12, 2019 (as amended, modified and/or supplemented to date, the "Agreement;" all capitalized terms used but not defined herein shall have the meanings set forth in the Agreement); and
WHEREAS, the Administrator and the Trust desire to amend the Agreement as set forth herein.
NOW, THEREFORE, in consideration of the mutual agreements herein contained and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged by the parties, the Administrator and the Trust hereby agree as follows:
1. The Agreement is hereby amended by deleting the existing Appendix A to the Agreement and replacing it with the Appendix A attached hereto.
2. The Administrator and the Trust acknowledge and agree that the "ETF Transfer Agency and Related Services" listed on Appendix B to the Agreement apply only to those Portfolios listed under the heading "ETFs" on Appendix A to the Agreement and not with respect to any Portfolio listed under "Mutual Funds" on such Appendix A.
3. This Amendment may be executed in any number of counterparts each of which shall be deemed to be an original. This Amendment shall become effective when one or more counterpa11s have been signed and delivered by each of the parties. A photocopy or telefax of the Amendment shall be acceptable evidence of the existence of the Amendment and the Administrator shall be protected in relying on the photocopy or telefax until the Administrator has received the original of the Agreement.
4. This Amendment, together with the Agreement, constitutes the entire agreement of the parties with respect to its subject matter and supersedes all oral communications and prior writings with respect hereto. Except as expressly modified hereby, the Agreement shall continue in full force and effect in accordance with its terms and conditions.
5. This Amendment shall be construed in accordance the governing law and exclusive jurisdiction provisions of the Agreement.
[Signature page follows]
IN WITNESS WHEREOF, each of the undersigned parties has executed this Amendment to Administrative Agency Agreement effective as of the date first above written.
XXXXX BROTHERS XXXXXXXX & CO.
By: | ||
Name: | ||
Title: | ||
Date: |
GUINNESS XXXXXXXX FUNDS ON BEHALF OF
SERIES PORTFOLIOS LISTED ON EXHIBIT A HERETO
By: | ||
Name: | ||
Title: | ||
Date: |
2
Exhibit A
to Administrative Agency Agreement
List of Portfolios
Dated as of _________, 2020
Mutual Funds
Guinness Xxxxxxxx Alternative Energy Fund
Guinness Xxxxxxxx Asia Focus Fund
Guinness Xxxxxxxx Asia Pacific Dividend Builder Fund
Guinness Xxxxxxxx China & Hong Kong Fund
Guinness Xxxxxxxx Global Energy Fund
Guinness Xxxxxxxx Global Innovators Fund
Guinness Xxxxxxxx Dividend Builder Fund
Guinness Xxxxxxxx Renminbi Yuan & Bond Fund
ETFs
SmartETFs Smart Transportation & Technology ETF
SmartETFs Advertising & Marketing Technology ETF
SmartETFs Asia Pacific Dividend Builder ETF
SmartETFs Dividend Builder ETF
SmartETFs Sustainable Energy ETF
SmartETFs Sustainable Energy II ETF