INFORMATION TO BE FURNISHED BY THE TRUST. The Trust has furnished to Ultimus the following:
(a) Copies of the Agreement and Declaration of Trust (the “Declaration of Trust”) and of any amendments thereto, certified by the proper official of the state in which such document has been filed.
(b) Copies of the following documents:
(1) The Trust’s Bylaws and any amendments thereto; and
(2) Certified copies of resolutions of the Trustees covering the approval of this Agreement, authorization of a specified officer of the Trust to execute and deliver this Agreement and authorization for specified officers of the Trust to instruct Ultimus thereunder.
(c) A list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Ultimus in all matters.
(d) Copies of the Prospectus and Statement of Additional Information for each Fund.
INFORMATION TO BE FURNISHED BY THE TRUST. The Trust has furnished to Ultimus the following:
(a) Copies of the Declaration of Trust and of any amendments thereto, certified by the proper official of the state in which such document has been filed.
(b) Copies of the following documents:
(1) The Trust's Bylaws and any amendments thereto; and
(2) Certified copies of resolutions of the Trustees covering the approval of this Agreement, authorization of a specified officer of the Trust to execute and deliver this Agreement and authorization for specified officers of the Trust to instruct Ultimus thereunder.
(c) A list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Ultimus in all matters.
(d) Copies of the Prospectus and Statement of Additional Information for each Portfolio.
INFORMATION TO BE FURNISHED BY THE TRUST. The Trust has furnished to Ultimus the following:
(a) Copies of the Declaration of Trust and of any amendments thereto, certified by the proper official of the state in which such document has been filed.
(b) Copies of the following documents:
(1) The Trust's Bylaws and any amendments thereto; and (
INFORMATION TO BE FURNISHED BY THE TRUST. (a) The Trust has furnished or shall promptly furnish to MFund the Fund Compliance Program or the various policies and procedures of the Trust that have been adopted through the date hereof which pertain to compliance matters that are required to be covered by the Fund Compliance Program, including the compliance programs of Service Providers other than MFund, as necessary under Rule 38a-1 for inclusion in the Fund Compliance Program.
(b) The Trust shall furnish MFund written copies of any amendments to, or changes in, any of the items referred to in Section 4(a) hereof, forthwith upon such amendments or changes becoming effective. In addition, the Trust agrees that no amendments will be made to the Fund Compliance Program, which might have the effect of changing the procedures employed by MFund in providing the services agreed to hereunder or which amendment might affect the duties of MFund hereunder unless the Trust first obtains MFund’s approval of such amendments or changes, which approval shall not be withheld unreasonably.
(c) MFund may rely on all documents furnished to it by the Trust and its agents , including Trust counsel, counsel to the independent Trustees and the Trust’s accountants, in connection with the services to be provided under this Agreement, including any amendments to or changes in any of the items to be provided by the Trust pursuant to Section 4(a), and shall be entitled to indemnification in accordance with Section 2(b) with regards to such reliance.
(d) The Trust represents and warrants that it shall use its reasonable best efforts to effect the appointment and approval of the officers of the Trust recommended by MFund, as provided in Section 2 of this Agreement, by the Board.
INFORMATION TO BE FURNISHED BY THE TRUST. (a) The Trust will furnish to VCM the following upon request:
(i) A copy of each Trust Instrument and any amendments thereto;
(ii) A copy of each Trust’s By-laws and any amendments thereto;
(iii) A certified list of all officers of the Funds, including the Funds’ AML Compliance Officer (as defined in section 17(c) of this Agreement), and any other persons together with specimen signatures of those officers and other persons who (except as otherwise provided herein to the contrary) shall be authorized to instruct VCM in all matters. Any delay in delivery of this list shall not relieve VCM of any actual knowledge it may possess of any change in authority of persons authorized to provide instructions to VCM;
(iv) A copy of each Trust’s anti-money laundering program, including any related policies and procedures (“AML Program”);
(v) Each Trust’s most recent Post-Effective Amendment to its Registration Statement under the Securities Act of 1933, as amended (the “1933 Act”), and under the 1940 Act, on Form N-1A as filed with the SEC relating to the Shares and any further amendment thereto;
(vi) Notification of registration of the Trust under the 1940 Act on Form N-8A as filed with the SEC;
(vii) Prospectuses and SAIs of the Trust with respect to the Funds (such prospectuses and SAIs , as presently in effect and as they shall from time to time be amended and supplemented, herein called individually, the “Prospectus” and collectively, the “Prospectuses”); and
(ix) The Trust’s disclosure and control procedures (the “Trust DCPs”).
(b) The Trust shall furnish VCM written copies of any amendments to, or changes in, any of the items referred to in Section 15(a) hereof, forthwith upon such amendments or changes becoming effective. In addition, the Trust agrees that no amendments will be made to the AML Program or the Trust DCPs that might have the effect of changing the procedures employed by VCM in providing the Services or that might affect the duties of VCM hereunder, unless the Trust first obtains VCM’s approval of such amendments or changes, which approval shall not be withheld unreasonably.
(c) VCM may rely on all documents furnished to it by the Trust and its agents in connection with the Services, including any amendments to or changes in any of the items to be provided by the Trust pursuant to Section 15(a), and shall be entitled to indemnification in accordance with Section 9 above with regard to such reliance.
(d) The Trust represents and warrants that (A) th...
INFORMATION TO BE FURNISHED BY THE TRUST. The Trust has furnished to BISYS the following, as amended and current as of the date of this Amendment:
(a) A list of all officers of the Trust, with the Trust's AML Compliance Officer included among the officers therein, and any other persons (who may be associated with the Trust or its investment advisor), together with specimen signatures of those officers and other persons who (except as otherwise provided herein to the contrary) shall be authorized to instruct BISYS in all matters.
(b) A copy of the Trust's written AML Program, as defined in Section 1 of this Amendment, including related Policies and Procedures.
INFORMATION TO BE FURNISHED BY THE TRUST. (a) The Trust has furnished or will furnish (or has caused or will cause the Service Providers to furnish) to BISYS copies of the Fund Compliance Program or the various policies and procedures of the Trust that have been adopted through the effective date hereof which pertain to compliance matters that are required to be covered by the Fund Compliance Program, including the compliance programs of Service Providers other than BISYS, as necessary under Rule 38a-1 for inclusion in the Fund Compliance Program.
(b) The Trust has furnished or will furnish (or has caused or will cause the Service Providers to furnish) to BISYS written copies of any amendments to, or changes in, any of the items referred to in Section 4(a) hereof, forthwith upon such amendments or changes becoming effective. In addition, the Trust agrees that BISYS shall not be required to comply with any amendments to the Fund Compliance Program which might have the effect of changing the procedures employed by BISYS in providing the services agreed to hereunder or which amendment might affect the duties of BISYS hereunder unless the Trust first obtains BISYS's approval of such amendments or changes, which approval shall not be withheld unreasonably.
(c) BISYS may rely on all documents furnished to it by the Trust and its agents in connection with the services to be provided under this Agreement, including any amendments to or changes in any of the items to be provided by the Trust pursuant to Section 4(a), and shall be entitled to indemnification as provided herein with regard to such reliance, except that any such obligation to indemnify BISYS shall not apply with respect to documents created by BISYS or any of its affiliates describing the operations, procedures or policies of BISYS or any of its affiliates in their various capacities as Service Providers to the Trust. The Trust represents and warrants that (i) the provision of the Chief Compliance Officer of the Trust by BISYS, as provided in Section 2 of this Agreement, has been approved by the Board, and (ii) the individual nominated by BISYS as the Trust's Chief Compliance Officer has been approved and appointed as an officer of the Trust by the Board.
INFORMATION TO BE FURNISHED BY THE TRUST. (a) The Trust has furnished or shall promptly furnish to Carne copies of the various policies and procedures of the Trust that have been adopted through the date hereof which pertain to risk oversight matters that are required to be covered by the Fund Risk Program, including the related programs of service providers other than Carne, or other information as reasonably requested by Carne for inclusion in the Fund Risk Program.
(b) The Trust shall furnish Carne written copies of any amendments to, or changes in, any of the items referred to in Section 4 hereof, forthwith upon such amendments or changes becoming effective. In addition, the Trust agrees that no amendments will be made to the Fund Risk Program which will have the effect of changing the procedures employed by Carne in providing the Services agreed to hereunder or which amendment will affect the duties of Carne hereunder unless the Trust first notifies Carne of such amendments or changes.
(c) Carne may rely on all documents furnished to it by the Trust and its agents in connection with the Services to be provided under this Agreement, including any amendments to or changes in any of the items to be provided by the Trust pursuant to this Section 4, and shall be entitled to indemnification in accordance with Section 9 below with regard to such reliance.
INFORMATION TO BE FURNISHED BY THE TRUST. The Trust has furnished to CQFS, or will furnish prior to the Effective Date, the following:
(a) Copies of the following documents:
INFORMATION TO BE FURNISHED BY THE TRUST. The Trust has furnished to Schwab the following:
A. Copies of the Declaration of Trust of the Trust and of any amendments thereto, certified by the proper official of the state in which such Declaration has been filed.
B. Copies of the following documents:
1. The Trust's Bylaws and any amendments thereto.
2. Certified copies of resolutions of the Board of Trustees covering the following matters:
a. Approval of this Agreement, authorization of an officer of the Trust to execute and deliver this Agreement and authorization for officers of the Trust to instruct Schwab hereunder; and
b. Authorization of Schwab to act as Shareholder Service Agent for the Trust.
C. A list of all the officers of the Trust, together with specimen signatures of those officers who are authorized to instruct Schwab in all matters.
D. Two copies of the following (if such documents are employed by the Trust):
1. Prospectuses for each Fund and the Statement(s) of Additional Information of the Trust;
2. Distribution Agreement;
3. Investment Advisory and Administration Agreement(s); and
4. All other forms commonly used by the Trust or its Distributor with regard to their relationships and transactions with shareholders of the Trust.
