FORM OF FINANCIAL INVESTORS TRUST SUB-ADVISORY AGREEMENTSub-Advisory Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
AGREEMENT, dated as of , 2009 by and among ALPS Advisors, Inc. (the “Investment Adviser”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, Financial Investors Trust, a Delaware statutory trust (the “Trust”), on behalf of the funds listed in Appendix A hereto, as amended from time to time, each a series of the Trust (each, a “Fund” and collectively, the “Funds”), and Clough Capital Partners LP, a Delaware limited partnership (the “Sub-Adviser”), having its principal place of business at 260 Franklin Street, Suite 1920, Boston, Massachusetts 02110.
FORM OF FINANCIAL INVESTORS TRUST INVESTMENT ADVISORY AGREEMENT CLOUGH CHINA FUNDInvestment Advisory Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
This Investment Advisory Agreement (this “Agreement”) is made and entered into as of this day of , 2009, by and between ALPS Advisors, Inc., a Colorado corporation (the “Adviser”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”), on behalf of the funds listed in Appendix A hereto, as amended from time to time, each a series of the Trust (each, a “Fund” and collectively, the “Funds”).
FORM OF SHAREHOLDER SERVICING AGREEMENTShareholder Servicing Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
THIS SHAREHOLDER SERVICING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business at , , (hereinafter “Servicer”).
FORM OF BROKER DEALER SELLING AGREEMENTBroker Dealer Selling Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business (hereinafter “Broker/Dealer”).
Form of Fund/SERV AgreementFund/Serv Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
AGREEMENT entered into this day of , 200 , by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS”), and with its principal place of business in (“Trust Entity”).
FORM OF AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • August 20th, 2009 • Financial Investors Trust • New York
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this day of , 2009 by Financial Investors Trust, a Delaware statutory trust (the “Acquiring Trust”), on behalf of Clough China Fund (the “Acquiring Fund”); Old Mutual Funds I, a Delaware statutory trust, (the “Selling Trust”), on behalf of Old Mutual China Fund (the “Selling Fund”) (the Acquiring Fund and Selling Fund referred to herein as a “Fund” and collectively, the “Funds”); ALPS Advisors, Inc. (“ALPS”), the investment adviser to the Acquiring Fund (for purposes of Section 9.1 of the Agreement only). The principal place of business of the Acquiring Trust and ALPS is 1290 Broadway, Suite 1100, Denver, Colorado 80203; the principal place of business of the Selling Trust is 4643 South Ulster Street, Suite 600, Denver, Colorado 80237.
Form of Trust NETWORKING AgreementTrust Networking Agreement • August 20th, 2009 • Financial Investors Trust • Colorado
AGREEMENT entered into this day of , 200 , by and between ALPS Distributors, Inc., with its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (“ALPS” or “Fund Agent”), and with its principal place of business in (“Trust Entity”).
Form of Amendment No. to Distribution AgreementDistribution Agreement • August 20th, 2009 • Financial Investors Trust
This Amendment No. dated as of , 2009 (this “Amendment”) is to the Distribution Agreement dated October 1, 2007 (the “Agreement”), as amended, by and between ALPS Distributors, Inc., a Colorado corporation (“ALPS”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”).
Form of Amendment No. to Fund Accounting and Administration AgreementFund Accounting and Administration Agreement • August 20th, 2009 • Financial Investors Trust
This Amendment No. dated as of , 2009 (this “Amendment”) is to the Fund Accounting and Administration Agreement dated October 1, 2007 (the “Agreement”), as amended, by and between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”).
Form of Amendment No. to Transfer Agency and Service AgreementTransfer Agency and Service Agreement • August 20th, 2009 • Financial Investors Trust
This Amendment No. dated as of , 2009 (this “Amendment”) is to the Transfer Agency and Service Agreement dated October 1, 2007 (the “Agreement”), as amended, by and between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”), and Financial Investors Trust, a Delaware statutory trust (the “Trust”).
Form of Fee Waiver Letter Agreement ALPS ADVISORS, INC.Fee Waiver Agreement • August 20th, 2009 • Financial Investors Trust
This letter confirms ALPS Advisors, Inc.’s (the “Adviser”) agreement with the Trust to contractually limit the total amount of the “Advisory Fee” and “Other Expenses” that they are entitled to receive from the Fund.
Form of Amendment No. to Foreign Custody Manager AgreementForeign Custody Manager Agreement • August 20th, 2009 • Financial Investors Trust
This Amendment No. dated , 2009 (“Effective Date”) to Foreign Custody Manager Agreement (the “Agreement”), dated November 13, 2007, between Financial Investors Trust, a Delaware statutory trust (the “Trust”), and The Bank of New York Mellon, a New York corporation (the “Custodian”).
Form of Amendment No. to Custody AgreementCustody Agreement • August 20th, 2009 • Financial Investors Trust
This Amendment No. dated , 2009 (“Effective Date”) to Custody Agreement (the “Agreement”), dated November 13, 2007, between Financial Investors Trust, a Delaware statutory trust (the “Trust”), and The Bank of New York Mellon, a New York corporation (the “Custodian”).
