X0405 TA-1/A 0001049169 XXXXXXXX 084-05730 false LIVE SEC ALPS FUND SERVICES, INC. ALPS FUNDS SERVICES INC /CO/ /TA 332981 1290 Broadway, Suite 1000 Denver CO 80203 N 303-623-2577 Y 430 W 7th St Kansas City MO 64105 N N N Corporation Patricia P. Lobato 09/12/2008 SVP, Director of Creative Services NA true Richard Noyes 07/01/2016 SVP, General Counsel NA true Patrick J. Pedonti 04/16/2018 VP, Treasurer and Asst. Secretary NA true Eric T. Parsons 08/01/2012 VP, Controller and Asst. Treasurer NA true Una Troy 06/26/2019 Director and President NA true Stephen Kyllo 07/05/2020 SVP, Director & Chief Compliance Officer NA true Jason White 09/01/2021 Secretary NA true Y ALPS Holdings Inc., a DST Systems, Inc. company ALPS Fund Services, Inc. is a wholly owned subsidiary of ALPS Holdings, Inc., which is a subsidiary of DST Systems, Inc. DST Systems, Inc. ALPS Fund Services, Inc. is a wholly owned indirect subsidiary of DST Systems, Inc. SS&C Technologies Holdings, Inc. ALPS Fund Services, Inc. is a wholly owned indirect subsidiary of SS&C Technologies Holdings, Inc. N N N N N N Y ALPS Fund Services, Inc. Administrative Proceeding, File No. 3-16672 07/01/2015 U.S. Securities and Exchange Commission The auditor violated the SEC's auditor independence rules. AFS provides compliance related services to the funds, by furnishing a CCO to the funds who, consistent with Rule 38a-1 under the Investment Company Act of 1940, administered the funds' compliance policies and procedures. The SEC found that the funds did not adopt sufficient additional written policies and procedures reasonably designed to prevent violation of the SEC's auditor independent rules. Without admitting or denying the findings, AFS settled charges that it caused the funds to violate Rule 38a-1. N N N N N N Y ALPS Distributors, Inc. 2011029728201 10/14/2015 Financial Industry Regulatory Authority, Inc. It was alleged that over an approximate three-year period from July 1, 2011 to August 31, 2011, ADI improperly processed creation and redemption orders in Exchange-Traded Products. Settlement reached. On October 14, 2015, FINRA issued the final Notice of Acceptance of Acceptance, Waiver and Consent No. 20110297282-01. N N Y ALPS Distributors, Inc. FINRA Letter of Acceptance, Waiver and Consent No. 20110297282-01 10/14/2015 FINRA ADI received and responded to a series of FINRA requests for information in connection with FINRA's review of creations and redemptions of certain exchange-traded products for which ADI acted as distributor or marketing agent for a 60-day period in 2011. On October 14, 2014, FINRA issued a FINRA Notice of Acceptance of a Letter of Acceptance, Waiver and Consent No. 20110297282-01. ADI consented to the entry of the AWC without admitting or denying the findings. ADI has implemented procedures to address the issues identified in the AWC. N N N N N N Una Troy 303-623-2577 Director and President 03/23/2023