ARTIO SELECT OPPORTUNITIES FUND INC. AMENDMENT TO THE AMENDED AND RESTATED DISTRIBUTION AGREEMENT
Exhibit e1
ARTIO SELECT OPPORTUNITIES FUND INC.
AMENDMENT TO THE AMENDED AND RESTATED
DISTRIBUTION AGREEMENT
THIS AMENDMENT, dated as of the 18th day of October, 2012, to the Amended and Restated Distribution Agreement, originally made and entered into as of the 30th of June, 2004, and amended and restated as of July 1, 2009 and June 14, 2010, (the “Agreement”), is entered into by and between ARTIO SELECT OPPORTUNITIES FUND INC. f/k/a ARTIO GLOBAL EQUITY FUND INC., a Maryland corporation (the “Company”) and QUASAR DISTRIBUTORS, LLC, a Delaware limited liability company (the “Distributor”).
RECITALS
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WHEREAS, the parties have entered into the Agreement; and |
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WHEREAS, the parties desire to amend the Agreement; and |
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WHEREAS, Section 10 of the Agreement allows for an amendment by a written instrument executed by both parties. |
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NOW, THEREFORE, the parties agree as follows: |
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Effective July 27, 2012, Artio Global Equity Fund Inc. became known as Artio Select Opportunities Fund Inc. Accordingly, all references to the Artio Global Equity Fund Inc. in the Agreement shall be replaced with Artio Select Opportunities Fund Inc. |
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Exhibit C, the list of duties to oversee the various intermediaries that transact in Fund shares, is hereby added to the Agreement and is attached hereto. |
Except to the extent amended hereby, the Agreement shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed by a duly authorized officer on one or more counterparts as of the date and year first written above.
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QUASAR DISTRIBUTORS, LLC |
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By: |
/s/ Xxxxxxx Xxxxxxx; /s/ Xxxx Xxxxxxxx |
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By: |
/s/ Xxxxx Xxxxxxxxx |
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Printed Name: Xxxxxxx Xxxxxxx; Xxxx Xxxxxxxx |
Printed Name: Xxxxx X. Xxxxxxxxx |
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Title: Chief Financial Officer; Treasurer |
Title: President |
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8/01/12 – Artio Select |
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Exhibit e1
Exhibit C to the Amended and Restated Distribution Agreement
Additional Duties of the Distributor
The Distributor agrees to work together with Artio Global Management LLC (“Artio Global”), the adviser for the Artio Select Opportunities Fund in overseeing the various intermediaries that transact in Fund shares.
The Distributor agrees to collaborate with Artio Global to:
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identify intermediary accounts including, but not limited to broker-dealer, bank/trust and qualified plan recordkeepers; |
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review documentation including dealer, servicing and NSCC agreements; |
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analyze documentation to determine sufficiency of representations and disclosures including those relating to compliance with the various federal securities laws as well as fund specific prospectus requirements; |
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communicate with intermediaries to solicit information and/or documentation such as dealer reclaims for monies due the funds, 12b-1 payment information, due diligence support (i.e., SSAE 16 among others items); |
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communicate to intermediaries annually via negative-consent letter mailings to confirm their various responsibilities in complying with certain federal and state securities laws as well as fund specific prospectus requirements; |
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report to and communicate with Artio Global about the status of new intermediary accounts; |
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identify any new entity account that may require a servicing or other type of agreement; |
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8/01/12 – Artio Select |
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