EX-99.28.H.14 8 fp0057645_ex9928h14.htm

 

Exhibit (h)(14)

 

Amendment to Transfer Agency and Service Agreement

 

This Amendment dated as of June 17, 2020 (this “Amendment”) is to the Transfer Agency and Service Agreement dated as of October 1, 2007, as amended, (the “Agreement”), between ALPS Fund Services, Inc., a Colorado corporation (“ALPS”) and Financial Investors Trust, a Delaware statutory trust (the “Trust”). Any items not herein defined shall have the meaning ascribed to them in the Agreement.

 

WHEREAS, ALPS and the Trust wish to amend the Agreement in certain respects as more fully set forth below.

 

NOW, THEREFORE, in consideration of the premises and mutual covenants hereinafter contained, the parties hereto agree as follows:

 

1.Effective as of the date of this Amendment, Schedule A to the Agreement is replaced in its entirety with the new Schedule A attached hereto and incorporated by reference herein.

 

2.Effective as of the date of this Amendment, Schedule B to the Agreement is replaced in its entirety with the new Schedule B attached hereto and incorporated by reference herein.

 

3.Except as specifically set forth herein, all other provisions of the Agreement shall remain in full force and effect.

 

IN WITNESS WHEREOF, the parties hereto have duly executed and delivered this Amendment as of the date first written above.

 

FINANCIAL INVESTORS TRUST   ALPS FUND SERVICES, INC.  
           
By: /s/ Bradley J. Swenson   By: /s/ Michael Sleightholme  
Name: Bradley J. Swenson   Name: Michael Sleightholme  
Title: President   Title: Authorized Representative  

 

 

Schedule A

 

List of Funds

 

ALPS/CoreCommodity Management CompleteCommodities Strategy Fund (Class A, Investor Class, Class C and Class I)

 

ALPS/Kotak India Growth Fund (Class A, Investor Class, Class C, Class I and Class II)

 

ALPS/Red Rocks Global Opportunity Fund (Class A, Investor Class, Class C, Class I and Class R)

 

ALPS/Smith Balanced Opportunity Fund (Class A, Investor Class, Class C and Class I)

 

ALPS/Smith Credit Opportunities Fund (Class A, Investor Class, Class C and Class I)

 

ALPS/Smith Short Duration Bond Fund (Class A, Investor Class, Class C and Class I)

 

ALPS/Smith Total Return Bond Fund (Class A, Investor Class, Class C and Class I)

 

Clough China Fund (Class A, Investor Class, Class C and Class I)

 

RiverFront Asset Allocation Aggressive (Class A, Investor Class, Class C, Class I, Class L and Investor Class II) 

(formerly, RiverFront Global Growth Fund)

 

RiverFront Asset Allocation Growth & Income (Class A, Investor Class, Class C, and Class I) 

(formerly, RiverFront Dynamic Equity Income Fund)

 

RiverFront Asset Allocation Moderate (Class A, Investor Class, Class C and Class I) 

(formerly, RiverFront Moderate Growth & Income Fund)

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Schedule B

 

Fee Schedule

 

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OUT-OF-POCKET FEES AND EXPENSES:

 

The following list includes some, but not all, of the out-of-pocket fees and expenses that may be incurred by ALPS from outside vendors. All out-of-pocket fees and expenses, whether or not listed below, are passed directly through at cost to ALPS’ clients as out-of-pocket fees and expenses:

 

NSCC interface fees

22c2 fees

The cost of printing and mailing shareholder confirmations and statements

Fulfillment costs

Statement and confirmation production

The cost of fund-specific statement paper and envelopes

Postage including advances

Wire fees and other bank charges

Sales reporting fees

Private label of money market fund fees

Telephone

Records storage/retrieval

Control review reports

Customized programming/reporting

Retirement account disclosure statement language

Mauritius fees and expenses with respect to the ALPS/Kotak India Growth Fund

Other miscellaneous expenses that may occur at the Trust’s discretion

 

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