FORM OF PENSERRA CAPITAL MANAGEMENT LLC SUB-ADVISORY AGREEMENTSub-Advisory Agreement • November 2nd, 2020 • Guinness Atkinson Funds • New York
Sub-Advisory Agreement (this “Agreement”) entered into as of the ___ day of ___, 2010, by and between GUINNESS ATKINSON ASSET MANAGEMENT, INC., a Delaware corporation (the “Adviser”) and PENSERRA CAPITAL MANAGEMENT LLC, a registered investment advisor organized under the laws of the State of New York (the “Sub-Adviser”).
Form of ETF DISTRIBUTION AGREEMENTForm of Etf Distribution Agreement • November 2nd, 2020 • Guinness Atkinson Funds • Delaware
This Distribution Agreement (the “Agreement”) is made this __ day of ______, 2019, by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust (the “Trust”) having its principal place of business at ____________, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
FORM OF ADMINISTRATIVE SERVICES AGREEMENT between GUINNESS ATKINSON FUNDS and GUINNESS ATKINSON ASSET MANAGEMENT, INC.Administrative Services Agreement • November 2nd, 2020 • Guinness Atkinson Funds • Delaware
ADMINISTRATIVE SERVICES AGREEMENT, dated as of _________________ 2020 by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust which may issue one or more series of shares of beneficial interest (the “Trust”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the “Adviser”), a Delaware corporation.
FORM OF AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT between GUINNESS ATKINSON FUNDS and GUINNESS ATKINSON ASSET MANAGEMENT, INC.Investment Advisory Agreement • November 2nd, 2020 • Guinness Atkinson Funds
AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT, dated as of _________, 2020 by and between GUINNESS ATKINSON FUNDS, a Delaware statutory trust which may issue one or more series of shares of beneficial interest (the "Trust"), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the "Adviser"), a Delaware corporation.
Form of 5th AMENDMENT TO FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • November 2nd, 2020 • Guinness Atkinson Funds
THIS AMENDMENT dated October 12, 2020 to the Fund Administration Servicing Agreement dated September 14, 2009 (the “Agreement”), as amended from time to time, is entered by and between Guinness Atkinson Funds, a Delaware statutory trust (the “Trust”) and Mutual Fund Administration, LLC, a California limited liability company (“MFAC LLC”).
FORM OF AMENDMENT TO ADMINISTRATIVE AGENCY AGREEMENTAdministrative Agency Agreement • November 2nd, 2020 • Guinness Atkinson Funds
THIS AMENDMENT TO ADMINISTRATIVE AGENCY AGREEMENT (this "Amendment") is made as of ___________, 2019 by and between BROWN 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.
Form of second AMENDMENT TO CUSTODIAN AGREEMENTCustodian Agreement • November 2nd, 2020 • Guinness Atkinson Funds
THIS SECOND AMENDMENT TO CUSTODIAN AGREEMENT (this “Amendment”) is made as of ______, 2020 by and between BROWN BROTHERS HARRIMAN & CO., a limited partnership organized under the laws of the State of New York (“BBH&Co.” or the “Custodian”), and GUINNESS ATKINSON FUNDS, a Delaware statutory trust (the “Trust”), on behalf of each of its series portfolios listed on Exhibit A to the Agreement (each a “Fund” and collectively, the “Funds”), registered with the Securities and Exchange Commission under the Investment Company Act of 1940.
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT GUINNESS ATKINSON FUNDSExpense Limitation Agreement • November 2nd, 2020 • Guinness Atkinson Funds
AMENDED AND RESTATED AGREEMENT, dated as of _____, 2020, by and between GUINNESS ATKINSON FUNDS (the “Trust”), on behalf of its series as listed on Schedule A to this Agreement (each, an “ETF”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. (the “Adviser”).
