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AMENDED AND RESTATED
TRANSFER AGENCY AND SERVICE AGREEMENT
between
FINANCIAL INVESTORS TRUST
and
ALPS MUTUAL FUNDS SERVICES, INC.
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TABLE OF CONTENTS
Page
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Article 1. Terms of Appointment; Duties 4
Article 2. Fees and Expenses 9
Article 3. Representations and Warranties of ALPS 9
Article 4. Representations and Warranties of the Trust 10
Article 5. Data Access and Proprietary Information 11
Article 6. Indemnification 13
Article 7. Standard of Care 16
Article 8. Covenants of the Trust and ALPS 16
Article 9. Termination of Agreement 18
Article 10. Assignment 18
Article 11. Amendment 19
Article 12. Colorado Law to Apply 19
Article 13. Merger of Agreement 19
Article 14. Counterparts 20
Article 15. Limitation of Liability of the Trustees
and Shareholders 20
Article 16. Year 2000 20
Article 17. Notices 21
Article 18. Waiver 21
Article 19. Severability 22
Article 20. Survival 22
Article 21. Headings 22
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TRANSFER AGENCY AND SERVICE AGREEMENT
AGREEMENT made as of the 14th day of December, 1999, by and between
FINANCIAL INVESTORS TRUST, a Delaware business trust, having its principal
office and place of business at 000 Xxxxxxxxxxx Xxxxxx, Xxxxx 0000, Xxxxxx,
Xxxxxxxx 00000 (the "Trust"), and ALPS MUTUAL FUNDS SERVICES, INC., a Colorado
Corporation having its principal office and place of business at 000 Xxxxxxxxxxx
Xxxxxx, Xxxxx 0000, Xxxxxx, Xxxxxxxx 00000 ("ALPS" or the "Administrator");
WHEREAS, the Trust and ALPS have entered into an Administration
Agreement dated as of December 14, 1999 (the "Administration Agreement")
pursuant to which ALPS is to provide various services,
WHEREAS, the Trust in accordance with the Administration Agreement
desires to appoint ALPS as its transfer agent, dividend disbursing agent and
agent in connection with certain other activities, and ALPS desires to accept
such appointment;
WHEREAS, the Trust is authorized to issue shares in separate series,
with each such series representing interests in a separate portfolio of
securities and other assets; and
WHEREAS, the Trust presently offers shares in separate series, as
described in Appendix A to this Agreement.
NOW, THEREFORE, in consideration of the mutual covenants herein
contained, the parties hereto agree as follows:
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Article 1. Terms of Appointment; Duties of ALPS
1.01 Subject to the terms and conditions set forth in this
Agreement, the Trust hereby employs and appoints ALPS to act as, and ALPS agrees
to act as its transfer agent for the Trust's authorized and issued shares of
beneficial interest in the Trust or any other fund of the Trust ("Shares"),
dividend disbursing agent and agent in connection with any accumulation,
open-account or similar plans provided to the shareholders of the Trust
("Shareholders") and set out in the currently effective prospectus and statement
of additional information ("prospectus") of the Trust, including without
limitation any periodic investment plan or periodic withdrawal program.
1.02 ALPS agrees that it will perform the following services
in accordance with the Trust's prospectus:
(a) In accordance with procedures established from
time to time by agreement between the Trust and ALPS, ALPS shall:
(i) Receive for acceptance, orders for the
purchase of Shares, promptly deliver payment
and appropriate documentation thereof to the
Custodians of the Trust authorized pursuant
to the Declaration of Trust of the Trust
(who is referred to herein as the
"Custodian"), and make proper remittance of
any sales load received by it to the persons
entitled
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to the same as instructed by the Trust's
Administrator;
(ii) Pursuant to purchase orders, issue the
appropriate number of Shares and hold Shares
in the appropriate Shareholder account;
(iii) In the event any check or other order for
the transfer of money is returned unpaid,
take such steps as it may deem appropriate
or the Trust may instruct to protect the
Trust and ALPS from financial loss;
(iv) Receive for acceptance redemption requests
and redemption directions and deliver the
appropriate documentation thereof to the
appropriate Custodian;
(v) In respect to the transactions in items (i),
(ii) and (iv) above, ALPS shall execute
transactions directly with broker-dealers
authorized by the Trust who shall thereby be
deemed to be acting on behalf of the Trust;
At the appropriate time as and when it
receives monies paid to it by the Custodian
with respect to any redemption, pay over or
cause to be paid over in the appropriate
manner such monies as instructed by the
redeeming Shareholders;
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(vii) Effect transfers of Shares by the registered
owners thereof upon receipt of appropriate
instructions;
(viii) Prepare and transmit payments (or where
appropriate credit a Shareholder account)
for dividends and distributions declared by
a Fund;
(ix) Issue replacement certificates for those
certificates alleged to have been lost,
stolen or destroyed upon receipt by ALPS of
indemnification satisfactory to ALPS and
protecting ALPS and the Trust, and ALPS at
its option, may issue replacement
certificates in place of mutilated stock
certificates upon presentation thereof and
without such indemnity;
(x) Maintain records of account for and advise
the Trust and its Shareholders as to the
foregoing; and Record the issuance of Shares
of the Trust and maintain pursuant to SEC
Rule 17Ad-lO(e) a record of the total number
of Shares of the Trust which are authorized,
based upon data provided to it by the Trust,
and issued and outstanding. ALPS shall also
provide the Trust on a regular basis with
the total number of Shares which are
authorized and issued and
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outstanding and shall have no obligation,
when recording the issuance of Shares, to
monitor the issuance of such Shares or to
take cognizance of any laws relating to the
issue or sale of such Shares, which
functions shall be the sole responsibility
of the Trust.
(b) In addition to and neither in lieu nor in
contravention of the services set forth in the above paragraph (a), ALPS shall:
(i) perform the customary services of a transfer
agent, dividend disbursing agent and, as
relevant, agent in connection with
accumulation, open-account or similar plans
(including without limitation any periodic
investment plan or periodic withdrawal
program), including but not limited to:
maintaining all Shareholder accounts,
preparing shareholder meeting lists, mailing
proxies, mailing Shareholder reports and
prospectuses to current Shareholders,
withholding taxes on U.S. resident and
non-resident alien accounts and maintaining
records with respect to such withholding,
preparing and filing U.S. Treasury
Department Forms 1099 and other appropriate
forms required with respect to dividends and
distributions by federal authorities for all
Shareholders, preparing and mailing
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confirmation forms and statements of account
to Shareholders for all purchases and
redemptions of Shares and other confirmable
transactions in Shareholder accounts,
responding to Shareholder telephone calls
and Shareholder correspondence, preparing
and mailing activity statements for
Shareholders, and providing Shareholder
account information and (ii) provide a
system which will enable the Trust to
monitor the total number of Shares sold in
each State.
(c) In addition, the Trust's outside legal counsel
shall (i) identify to ALPS in writing those transactions and assets to be
treated as exempt from blue sky reporting for each State and (ii) verify the
establishment of transactions for each State on the system prior to activation
and thereafter monitor the daily activity for each State. The responsibility of
ALPS for a Fund's blue sky State registration status is solely limited to the
initial establishment of transactions subject to blue sky compliance by such
Fund and the reporting of such transactions to the Fund as provided above.
(d) Procedures as to who shall provide certain of
these services in Article 1 may be established from time to time by agreement
between the Trust and ALPS per the attached service responsibility schedule.
ALPS may at times perform only a portion of these services and the Trust or its
agent may perform these services on the Trust's behalf.
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(e) ALPS shall provide additional services on behalf
of the Trust (i.e., escheatment services) which may be agreed upon in writing
between the Trust and ALPS.
Article 2. Fees and Expenses
2.01 For the performance by ALPS pursuant to this Agreement,
the Trust agrees to pay ALPS the fees in accordance with the terms of the
Administration Agreement.
2.02 In addition to the fee paid under Section 2.01 above, the
Trust agrees to reimburse ALPS for tabulating proxies. In addition, any other
expenses incurred by ALPS at the request or with the consent of the Trust, will
be reimbursed by the Fund.
2.03 The Trust agrees to pay all fees and reimbursable
expenses within thirty days following the receipt of the respective billing
notice. Postage for mailing of proxies to all Shareholder accounts shall be
advanced to ALPS by the Trust at least seven (7) days prior to the mailing date
of such materials.
Article 3. Representations and Warranties of ALPS
ALPS represents and warrants to the Trust that:
3.01 It is a company duly organized and existing and in good
standing under the laws of the State of Colorado.
3.02 It is duly qualified to carry on its business in the
State of Colorado.
3.03 It is empowered under applicable laws and by its Charter
and By-Laws to enter into and perform this Agreement.
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3.04 All requisite corporate proceedings have been taken to
authorize it to enter into and perform this Agreement.
3.05 It has and will continue to have access to the necessary
facilities, equipment and personnel to perform its duties and obligations under
this Agreement.
Article 4. Representations and Warranties of the Trust
The Trust represents and warrants to ALPS that:
4.01 It is a business trust duly organized and existing and in
good standing under the laws of the State of Delaware.
4.02 It is empowered under applicable laws and by its
Declaration of Trust and Code of Regulations to enter into and perform this
Agreement.
4.03 All trust proceedings required by said Declaration of
Trust and Code of Regulations have been taken to authorize it to enter into and
perform this Agreement.
4.04 It is an open-end and diversified management investment
company registered under the Investment Company Act of 1940, as amended.
4.05 A registration statement under the Securities Act of
1933, as amended is currently effective and will remain effective, and
appropriate state securities law filings have been made and will continue to be
made, with respect to all Shares of the Trust being offered for sale.
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Article 5. Data Access and Proprietary Information
5.01 The Trust acknowledges that the data bases, computer
programs, screen formats, report formats, interactive design techniques, and
documentation manuals furnished to the Trust by ALPS as part of the Trust's
ability to access certain related data ("Customer Data") maintained by ALPS on
data bases under the control and ownership of ALPS ("Data Access Services")
constitute copyrighted, trade secret, or other proprietary information
(collectively, "Proprietary Information") of substantial value to ALPS. It is
understood that Customer Data, which includes data provided to ALPS by or on
behalf of the Trust and records belonging to the Trust pursuant to Section 31 of
the Investment Company Act of 1940 as amended (and the Rules thereunder), will
not be deemed to be Data Access Services or Proprietary Information. The Trust
agrees to treat all Proprietary Information as proprietary to ALPS and further
agrees that it shall not divulge any Proprietary Information to any person or
organization except as may be provided hereunder. Without limiting the
foregoing, the Trust agrees for itself and its employees and agents:
(a) to access Customer Data solely from locations as may
be designated in writing by and solely in accordance
with ALPS' applicable user documentation;
(b) to refrain from copying or duplicating in any way the
Proprietary Information;
(c) to refrain from obtaining unauthorized access to any
portion of the Proprietary Information, and if such
access is inadvertently obtained, to inform
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in a timely manner of such fact and dispose of such
information in accordance with ALPS' instructions;
(d) to refrain from causing or allowing third-party data
acquired hereunder from being retransmitted to any
other computer facility or other location, except
with the prior written consent of ALPS;
(e) that the Trust shall have access only to those
authorized transactions agreed upon by the parties;
(f) to honor all reasonable written requests made by ALPS
to protect at ALPS' expense the rights of ALPS in
Proprietary Information at common law, under federal
copyright law and under other federal or state law.
Each party shall take reasonable efforts to advise its
employees or independent service contractors of the obligations pursuant to this
Article 5. The obligations of this Article shall survive any earlier termination
of this Agreement.
5.02 If the Trust notifies ALPS that any of the Data Access
Services do not operate in material compliance with the most recently issued
user documentation for such services, ALPS shall endeavor in a timely manner to
correct such failure. Organizations from which ALPS may obtain certain data
included in the Data Access Services are solely responsible for the contents of
such data and the Trust agrees to make no claim against ALPS arising out of the
contents of such third-party data, including, but not limited to, the accuracy
thereof, provided that ALPS will
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comply with all reasonable requests for assistance from the Trust in resolving
any claim or other discrepancy the Trust may have with such third party
organizations. DATA ACCESS SERVICES AND ALL COMPUTER PROGRAMS AND SOFTWARE
SPECIFICATIONS USED IN CONNECTION THEREWITH ARE PROVIDED ON AN AS IS, AS
AVAILABLE BASIS (PROVIDED THAT ALPS SHALL CONTINUE TO BE RESPONSIBLE FOR ANY
DELAY IN OR OTHER FAILURE OF PERFORMANCE THAT ARISES AS A RESULT OF A MATTER
REASONABLY WITHIN ALPS' CONTROL). ALPS EXPRESSLY DISCLAIMS ALL WARRANTIES EXCEPT
THOSE EXPRESSLY STATED HEREIN INCLUDING, BUT NOT LIMITED TO, THE IMPLIED
WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE.
5.03 If the transactions available to the Trust include the
ability to originate a customer originated electronic financial instruction to
ALPS in order to (i) effect the transfer or movement of cash or Shares or (ii)
transmit Shareholder information or other information (such transactions
constituting a "COEFI"), then in such event ALPS shall be entitled to rely on
the validity and authenticity of such instruction without undertaking any
further inquiry as long as such instruction is undertaken in conformity with
reasonable security procedures established by ALPS from time to time.
Article 6. Indemnification
6.01 ALPS shall not be responsible for, and the Trust shall
indemnify and hold ALPS harmless from and against, any and all losses, damages,
costs, charges, counsel fees, payments, expenses and liability arising out of or
attributable to:
(a) All actions taken or omitted to be taken by ALPS
or its agent or subcontractors required to be taken pursuant
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to this Agreement, provided that such actions are taken in good faith and
without negligence or willful misconduct.
(b) The Funds lack of good faith, negligence or
willful misconduct which arise out of the breach of any representation or
warranty of the Fund hereunder.
(c) The good faith reliance on or use by ALPS or its
agents or subcontractors of written information, records and documents or
services which (i) are received or relied upon by ALPS or its agents or
subcontractors and furnished to it or performed by or on behalf of the Fund, and
(ii) have been prepared, maintained and/or performed by the Fund or any other
authorized person or firm on behalf of the Fund.
(d) The reliance on, or the carrying out by ALPS or
its agents or subcontractors of any instructions or requests of the Fund.
(e) The offer or sale of Shares in violation of any
requirement under the federal securities laws or regulations or the securities
laws or regulations of any state that such Shares be registered in such state or
in violation of any stop order or other determination or ruling by any federal
agency or any state with respect to the offer or sale of such Shares in such
state.
6.02 At any time ALPS may apply to any officer of the Trust
for instructions, and may consult with legal counsel with respect to any matter
arising in connection with the services to be performed by ALPS under this
Agreement, and ALPS and its agents or subcontractors shall not be liable and
shall be indemnified by the Trust for any action taken or omitted by it in
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reliance upon such instructions or upon the opinion of such counsel (provided
such counsel is reasonably satisfactory to the Trust). ALPS, its agents and
subcontractors shall be protected and indemnified in acting upon any paper or
document furnished by or on behalf of the Trust, reasonably believed to be
genuine and to have been signed by the proper person or persons, or upon any
instruction, information, data, records or documents provided ALPS or its agents
or subcontractors by machine readable input, telex, CRT data entry or other
similar means authorized by the Trust, and shall not be held to have notice of
any change of authority of any person, until receipt of written notice thereof
from the Fund. ALPS, its agents and subcontractors shall also be protected and
indemnified in recognizing stock certificates which are reasonably believed to
bear the proper manual or facsimile signatures of the officer(s) of the Trust,
and the proper countersignature of any former transfer agent or former
registrar, or of a co-transfer agent or co-registrar.
6.03 In the event either party is unable to perform its
obligations under the terms of this Agreement because of acts of God, strikes,
equipment or transmission failure or damage reasonably beyond its control, or
other causes reasonably beyond its control, such party shall not be liable for
damages to the other for any damages resulting from such failure to perform or
otherwise from such causes.
6.04 In order that the indemnification provisions contained in
this Article 6 shall apply, upon the assertion of a claim for which the Trust
may be required to indemnify ALPS, ALPS shall promptly notify the Trust of such
assertion, and shall keep the Trust advised with respect to all developments
concerning such claim. The Trust shall have the option to participate with ALPS
in the defense of such claim or to defend against said claim
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in its own name or in the name of ALPS. ALPS shall in no case confess any claim
or make any compromise in any case in which the Trust may be required to
indemnify ALPS except with the Trust's prior written consent.
Article 7. Standard of Care
7.01 ALPS shall at all times act in good faith and agrees to
use its best efforts within reasonable limits to insure the accuracy of all
services performed under this Agreement, but assumes no responsibility and shall
not be liable for loss Of damage due to errors unless said errors are caused by
its negligence, bad faith, or willful misconduct or that of its employees.
Article 8. Covenants of the Trust and ALPS
8.01 The Trust shall promptly furnish to ALPS the following:
(a) A certified copy of the resolution of the Board
of Trustees of the Trust authorizing the appointment of ALPS and the execution
and delivery of this Agreement.
(b) A copy of the Declaration of Trust and Code of
Regulations of the Trust and all amendments thereto.
(c) Copies of each vote of the Board of Trustees of
the Trust designating authorized persons to give instructions to ALPS.
8.02 ALPS hereby agrees to establish and maintain facilities
and procedures reasonably acceptable to the Trust for
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safekeeping of stock certificates, check forms and facsimile signature
imprinting devices, if any; and for the preparation or use, and for keeping
account of, such certificates, forms and devices.
8.03 ALPS shall keep records relating to the services to be
performed hereunder, in the form and manner, as it may deem advisable, as
required by applicable laws, rules and regulations. To the extent required by
Section 31 of the Investment Company Act of 1940, as amended, and the Rules
thereunder, ALPS agrees that all such records prepared or maintained by ALPS
relating to the services to be performed by ALPS hereunder are the property of
the Trust and will be preserved, maintained and made available in accordance
with such Section and Rules, and will be surrendered promptly to the Trust on
and in accordance with its request. Additionally, ALPS will make reasonably
available to the Trust and its authorized representatives records maintained by
ALPS pursuant to this Agreement for reasonable inspection, use and audit, and
will take all reasonable action to assist the Trust's independent accountants in
rendering their opinion.
8.04 ALPS and the Trust agree that all books, records,
information and data pertaining to the business of the other party which are
exchanged or received pursuant to the negotiation or the carrying out of this
Agreement shall remain confidential and shall not be voluntarily disclosed to
any other person, except as may be required by law.
8.05 In case of any requests or demands for the inspection of
the Shareholder records of the Trust, ALPS will endeavor to notify the Trust and
to secure instructions from an authorized officer of the Trust as to such
inspection. ALPS reserves the right, however, to exhibit the Shareholder records
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to any person whenever it is advised by its counsel that it may be held liable
for the failure to exhibit the Shareholder records to such person.
Article 9. Termination of Agreement
9.01 This Agreement may be terminated by either party upon
ninety (90) days written notice to the other. Not withstanding anything to the
contrary in this Agreement, ALPS may not terminate this Agreement prior to the
later of: (i) the expiration of the initial or any renewal term of the
Administration Agreement; or (ii) the effectiveness of any termination notice
pursuant to the Administration Agreement. This Agreement may be terminated
immediately by the Trust should ALPS cease to be qualified to act as the Trust's
transfer agent pursuant to applicable law.
9.02 Should the Trust exercise its right to terminate, other
than as a result of a default under this Agreement by ALPS, all out-of-pocket
expenses associated with the movement of records and material will be borne by
the Trust. Additionally, ALPS reserves the right to charge for any other
reasonable expenses associated with such termination.
Article 10. Assignment
10.01 Except as provided in Section 10.03 below, neither this
Agreement nor any rights or obligations hereunder may be assigned by either
party without the written consent of the other party.
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10.02 This Agreement shall inure to the benefit of and be
binding upon the parties and their respective permitted successors and assigns.
10.03 ALPS may, without further consent on the part of the
Trust, subcontract for the performance hereof with (i) State Street Bank Trust,
a duly registered transfer agent pursuant to Section 17A(c)(l) of the Securities
Exchange Act of 1934, as amended ("Section 17A(c)(l)"); provided, however, that
ALPS shall be as fully responsible to the Trust for the acts and omissions of
any subcontractor as it is for its own acts and omissions.
Article 11. Amendment
11.01 This Agreement may be amended or modified by a written
agreement executed by both parties and authorized or approved by a resolution of
the Board of Trustees of the Trust.
Article 12. Colorado Law to Apply
12.01 This Agreement shall be construed and the provisions
thereof interpreted under and in accordance with the laws of the State of
Colorado.
Article 13. Merger of Agreement
13.01 This Agreement constitutes the entire agreement between
the parties hereto and supersedes any prior agreement with respect to the
subject matter hereof whether oral or written.
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Article 14. Counterparts
14.01 This Agreement may be executed by the parties hereto on
any number of counterparts, and all of said counterparts taken together shall be
deemed to constitute one and the same instrument.
Article 15. Limitation of Liability of the Trustees and Shareholders
15.01 The names "Financial Investors Trust" and "Trustees of
Financial Investors Trust" refer respectively to the Trust created and the
Trustees, as trustees but not individually or personally, acting from time to
time under a Declaration of Trust dated Feb. 23, 1994, which may be further
amended from time to time which is hereby referred to and a copy of which is on
file at the office of the Secretary of the State of Delaware and the principal
office of the Trust. The obligations of "Financial Investors Trust" entered into
in the name or on behalf thereof by any of the Trustees, representatives or
agents are made not individually, but in such capacities, and are not binding
upon any of the Trustees, shareholders, or representatives of the Trust
personally, but bind only the Trust Property, and all persons dealing with any
class of shares of the Trust must look solely to the Trust Property belonging to
such class for the enforcement of any claims against the Trust.
Article 16. Year 2000
16.01 ALPS is in the process of preparing its electronic data
processing system and programs for the arrival of the Year 2000, and will inform
the Trust of the status of such preparations upon reasonable request. ALPS will
make every reasonable effort to ensure such systems and programs utilized by
ALPS to
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provide services to the Trust under this Agreement will be able to process
date-related data on and after January 1, 2000 accurately.
Article 17. Notices
17.01 All notices and other communications as required or
permitted hereunder shall be in writing and delivered by certified mail, postage
prepaid, return receipt requested, addressed as follows or to such other address
or addresses of which the respective party shall have notified the other.
(a) If to the Trust, to:
Financial Investors Trust
000 00xx Xxxxxx, Xxxxx 0000
Xxxxxx, XX 00000-0000
Attention: Xxxxxx Xxx
(b) If to Alps, to:
ALPS Mutual Funds Services, Inc.
000 00xx Xxxxxx, Xxxxx 0000
Xxxxxx, XX 00000-0000
Attention: General Counsel
Article 18. Waiver.
18.01 The waiver by either party of a breach of any of the
covenants, provisions, or conditions herein
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contained shall not operate, or be construed, as a waiver of any subsequent
breach.
Article 19. Severability.
19.01 If any provision or provisions of this Agreement shall
be held invalid, unlawful, or unenforceable, the validity, legality, or
enforceability of the remaining provisions shall not in any way be affected or
impaired.
Article 20. Survival.
20.01 All provisions regarding indemnification, warranty,
liability, and limits thereon, and confidentiality and/or protections of
proprietary rights and trade secrets shall survive the termination of this
Agreement.
Article 21. Headings.
21.01 The titles and headings herein have been inserted for
convenience only and are not to be considered when interpreting the provisions
of this Agreement.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be
executed in their names and on their behalf by and through their duly authorized
officers, as of the day and year first above written.
FINANCIAL INVESTORS TRUST
BY:
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ATTEST:
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ALPS MUTUAL FUNDS SERVICES, INC.
BY:
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ATTEST:
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ALPS MUTUAL FUNDS SERVICES, INC.
FUND SERVICE RESPONSIBILITY
Service Performed Responsibility
----------------- ---------------------
ALPS Trust
---- -----
1. Receives orders for the purchase of Shares. X
2. Issue Shares and hold Shares in Shareholder's accounts. X
3. Receive redemption requests. X
4. Effect transactions 1-3 above directly with broker-dealers. X
5. Pay over monies to redeeming Shareholders. X
6. Effect transfers of Shares. X
7. Prepare and transmit dividends and distributions. X
8. Issue replacement Certificates. X
9. Reporting of abandoned property. X
10. Maintain records of account. X
11. Maintain and keep a current and accurate control book for each issue of
securities. X
12. Mail proxies. X
13. Mail Shareholder reports. X
14. Mail prospectuses to current Shareholders. X
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15. Withhold taxes on U.S. resident and non-resident alien accounts. X
16. Prepare and file U.S. Treasury Department forms. X
17. Prepare and mail account and confirmation statements for Shareholders. X
18. Provide Shareholder account information. X
19. Blue sky reporting. X
o Such services are more fully described in Article 1.02 (a), (b) and (c)
of the Agreement.
FINANCIAL INVESTORS TRUST
BY:
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ATTEST:
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ALPS MUTUAL FUNDS SERVICES, INC.
BY:
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ATTEST:
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APPENDIX A
Series Offered Under Financial Investors Trust:
U.S. Treasury Money Market Fund
U.S. Government Money Market Fund
Prime Money Market Fund
Aristata Equity Fund
Aristata Quality Bond Fund
Aristata Colorado Quality Tax Exempt Bond Fund
United Association 500 Index Fund
Interstate Fund
FINANCIAL INVESTORS TRUST
BY:
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ATTEST:
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ALPS MUTUAL FUNDS SERVICES, INC.
BY:
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ATTEST:
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