Common Contracts
47 similar Chief Compliance Officer Services Agreement contracts by ALPS Series Trust, Financial Investors Trust, Clough Funds Trust, others
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • August 9th, 2019 • Broadstone Real Estate Access Fund • New York
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 25, 2018 (the “Effective Date”) by and between Broadstone Real Estate Access Fund, organized as a Delaware statutory trust (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • October 1st, 2018 • XAI Octagon Floating Rate & Alternative Income Term Trust
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 26, 2017 (the “Effective Date”) by and between XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST AMERICAN INDEPENDENCE FUNDS CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • September 25th, 2018 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 24, 2018 (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST SEVEN CANYONS STRATEGIC INCOME FUND SEVEN CANYONS WORLD INNOVATORS FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • September 11th, 2018 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 10, 2018 (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST AMERICAN INDEPENDENCE FUNDS CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • June 13th, 2018 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of [May __, 2018] (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST SEVEN CANYONS STRATEGIC INCOME FUND SEVEN CANYONS WORLD INNOVATORS FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • May 24th, 2018 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of [May __, 2018] (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • December 12th, 2017 • Harvest Volatility Edge Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of November 17, 2017 (the “Effective Date”) by and between Harvest Volatility Edge Trust (the “Trust”), on behalf of the Funds offered by the Trust (each a “Fund”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • November 3rd, 2017 • Harvest Volatility Edge Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of [ ], 2017 (the “Effective Date”) by and between Harvest Volatility Edge Trust (the “Trust”), on behalf of the Funds offered by the Trust (each a “Fund”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST BEACON ACCELERATED RETURN STRATEGY FUND BEACON PLANNED RETURN STRATEGY FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • September 29th, 2017 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of October 2, 2017 (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
GOEHRING & ROZENCWAJG INVESTMENT FUNDS CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • September 28th, 2017 • Goehring & Rozencwajg Investment Funds • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 29, 2016 (the “Effective Date”) by and between Goehring & Rozencwajg Investment Funds (the “Trust”), on behalf of each series of the Trust (each such series and any additional series that may be established by the Trust and made subject to this Agreement are referred to herein individually as a “Fund,” and collectively, the “Funds”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • September 25th, 2017 • XAI Octagon Floating Rate & Alternative Income Term Trust
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of , 2017 (the “Effective Date”) by and between XAI Octagon Floating Rate & Alternative Income Term Trust (the “Trust”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
FINANCIAL INVESTORS TRUST RONDURE NEW WORLD FUND RONDURE OVERSEAS FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • March 23rd, 2017 • Financial Investors Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of March 21, 2017 (the “Effective Date”) by and between Financial Services Trust (the “Trust”), a Delaware statutory trust, on behalf of its series listed in Exhibit A (together, the “Funds” and each, a “Fund”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • February 28th, 2017 • Elevation ETF Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of March 30; 2016 (the “Effective Date”) by and between Elevation ETF Trust (the “Trust”) and each Fund offered by the Trust (each a “Fund” and collectively the “Funds”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
GOEHRING & ROZENCWAJG INVESTMENT FUNDS FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • December 12th, 2016 • Goehring & Rozencwajg Investment Funds • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of _______________, 2016 (the “Effective Date”) by and between Goehring & Rozencwajg Investment Funds (the “Trust”), on behalf of each series of the Trust (each such series and any additional series that may be established by the Trust and made subject to this Agreement are referred to herein individually as a “Fund,” and collectively, the “Funds”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
FINANCIAL INVESTORS TRUST AMENDED AND RESTATED CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • April 15th, 2016 • Financial Investors Trust • Colorado
This Amended and Restated Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of April 15, 2016 (the “Effective Date”) by and between Financial Investors Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and together, the “Funds”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • March 31st, 2016 • Elevation ETF Trust
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of March __, 2016 (the “Effective Date”) by and between Elevation ETF Trust (the “Trust”) and each Fund offered by the Trust (each a “Fund” and collectively the “Funds”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • February 26th, 2016 • Clough Funds Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 30, 2015 (the “Effective Date”) by and between Clough Funds Trust (the “Trust”), a Delaware statutory trust, and each Fund offered by the Trust (each a “Fund”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • September 23rd, 2015 • Clough Funds Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of _______________, 2015 (the “Effective Date”) by and between Clough Funds Trust (the “Trust”), a Delaware statutory trust, and each Fund offered by the Trust (each a “Fund”), and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST CLARKSTON PARTNERS FUND CLARKSTON FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • September 8th, 2015 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of September 8, 2015 (the “Effective Date”) by and between ALPS Series Trust (the “Trust”), a Delaware statutory trust, on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST DDJ OPPORTUNISTIC HIGH YIELD FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • July 15th, 2015 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of July 15, 2015 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • April 17th, 2015 • Index Funds • Colorado
THIS AGREEMENT is made as of April 17, 2015 (the “Effective Date”) between Index Funds (the “Trust”), statutory trust organized under the laws of the State of Delaware, on behalf of the series listed in Appendix A hereto (the “Fund”).
ALPS SERIES TRUST VALSPRESSO GREEN ZONE SELECT™ TACTICAL FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • February 27th, 2015 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of February 27, 2015 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated December 16, 2014 between REALITY SHARES ETF TRUST, a Delaware statutory trust (the “Trust”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of...Chief Compliance Officer Services Agreement • December 18th, 2014 • Reality Shares ETF Trust • Colorado
In a joint effort between the Trust and ALPS to ensure that the Trust is in compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), ALPS has agreed to render services to the Trust by entering into a formal agreement with respect thereto effective from and after the Effective Date.
ALPS SERIES TRUST NEW SHERIDAN DEVELOPING WORLD FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • August 29th, 2014 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of August 29, 2014 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST CUPPS ALL CAP GROWTH FUND CUPPS MID CAP GROWTH FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • June 30th, 2014 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of June 30, 2014 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST RIVERSIDE FRONTIER MARKETS FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • February 24th, 2014 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of February 24, 2014 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement) dated , between REALITY SHARES ETF TRUST, a Delaware statutory trust (the “Trust”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this...Chief Compliance Officer Services Agreement • February 7th, 2014 • Reality Shares ETF Trust • Colorado
In a joint effort between the Trust and ALPS to ensure that the Trust is in compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), ALPS has agreed to render services to the Trust by entering into a formal agreement with respect thereto effective from and after the Effective Date.
ALPS SERIES TRUST INSIGNIA MACRO FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • December 19th, 2013 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 9, 2013 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST CRYSTAL STRATEGY ABSOLUTE INCOME FUND CRYSTAL STRATEGY ABSOLUTE RETURN FUND CRYSTAL STRATEGY LEVERAGED ALTERNATIVE FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • December 16th, 2013 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 16, 2013 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
FINANCIAL INVESTORS TRUST STONEBRIDGE SMALL-CAP GROWTH FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • August 28th, 2013 • Financial Investors Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 31. 2012 (the “Effective Date”) by and between FINANCIAL INVESTORS TRUST, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (the “Fund”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST GKE ASIAN OPPORTUNITIES FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • July 31st, 2013 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of July 30, 2013 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (the “Fund”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENT (this “Agreement”) between ALPS ETF TRUST, a Delaware statutory trust (the “Trust”), and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation. The “Effective Date” of this Agreement is , 2013.Chief Compliance Officer Services Agreement • May 24th, 2013 • ALPS ETF Trust • Colorado
In a joint effort between the Trust and ALPS to ensure that the Barron’s 400 ETF, a series of the Trust (the “Fund”), is in compliance with Rule 38a-1 (the “Rule”) under the Investment Company Act of 1940, as amended (the “1940 Act”), ALPS has agreed to render services to the Trust on behalf of the Fund by entering into a formal agreement with respect thereto effective from and after the Effective Date.
FINANCIAL INVESTORS TRUST STONEBRIDGE SMALL-CAP GROWTH FUND FORM OF CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • December 19th, 2012 • Financial Investors Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of , 2013 (the “Effective Date”) by and between FINANCIAL INVESTORS TRUST, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (the “Fund”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation.
ALPS SERIES TRUST COGNIOS MARKET NEUTRAL LARGE CAP FUND CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • December 19th, 2012 • ALPS Series Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of December 20, 2012 (the “Effective Date”) by and between ALPS Series Trust, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (the “Fund”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS Fund Services, Inc. (“ALPS”), a Colorado corporation.
FINANCIAL INVESTORS TRUST CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTChief Compliance Officer Services Agreement • August 28th, 2012 • Financial Investors Trust • Colorado
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of March 16, 2012 (the “Effective Date”) by and between FINANCIAL INVESTORS TRUST, a Delaware statutory trust (the “Trust”), on behalf of the series listed in Exhibit A hereto (the “Fund”), as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation.
