Alps Fund Services TA-1/A Registration as a transfer agent (amended)

Form TA-1 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A	OMB APPROVAL
FORM TA-1/A		OMB Number:   3235-0084 Estimated average burden hours per response: 1.5

TA-1/A : Filer Information

Form Version X0405

1(a). Filer CIK:	0001049169
1(b). Filer CCC:	********
1(c). Is this a LIVE or TEST submission?	Live   Test
1(d). Would you like a Return Copy?	Yes

Submission Contact Information

The registrant may provide a single e-mail address for contact purposes.

1(f)(i). Contact Name:

1(f)(ii). Contact Phone Number:

1(f)(iii). Contact E-Mail Address:

Notification Information

The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.

1(g). Notification E-mail Address:

TA-1/A : Registrant Information

2. Appropriate regulatory agency (check one):   Securities and Exchange Commission     Federal Deposit Insurance Corporation     Comptroller of the Currency  

3(a). Full Name of Registrant:	ALPS FUND SERVICES, INC.
3(a)(i). Previous name, if being amended:	ALPS FUNDS SERVICES INC /CO/ /TA
3(b). Financial Industry Number (FINS) number:	332981

3(c). Address of principal office where transfer agent activities are, or will be, performed:

3(c)(i). Address 1	1290 Broadway, Suite 1000
3(c)(ii). Address 2
3(c)(iii). City	Denver
3(c)(iv). State or Country	COLORADO
3(c)(v). Postal Code	80203
3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es):	Yes   No
3(e). Telephone Number (Include Area Code)	303-623-2577
4. Does Registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Questions 3(c) above? If "Yes" provide address (es):	Yes   No
Other Business Location Record: 1
4(a)(i). Address 1	430 W 7th St
4(a)(ii). Address 2
4(a)(iii). City	Kansas City
4(a)(iv). State or Country	MISSOURI
4(a)(v). Postal Code	64105
5. Does registrant act, or will it act, as a transfer agent solely for its own securities, and/or securities of an affiliate(s)?	Yes   No
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?	Yes   No

7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions?  Yes   No

TA-1/A : Independent, Non-Issuer Registrant Information

Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable".

8. Is registrant a: Corporation

Section for Initial Registration and for Amendments Reporting Additional Persons.

corporation or partner information Related to item 8 Record: 1

8(a)(i). Full Name	Patricia P. Lobato
8(a)(ii). Relationship Start Date	09/12/2008
8(a)(iii). Title or Status	SVP, Director of Creative Services
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 2

8(a)(i). Full Name	Richard Noyes
8(a)(ii). Relationship Start Date	07/01/2016
8(a)(iii). Title or Status	SVP, General Counsel
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 3

8(a)(i). Full Name	Patrick J. Pedonti
8(a)(ii). Relationship Start Date	04/16/2018
8(a)(iii). Title or Status	VP, Treasurer and Asst. Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 4

8(a)(i). Full Name	Eric T. Parsons
8(a)(ii). Relationship Start Date	08/01/2012
8(a)(iii). Title or Status	VP, Controller and Asst. Treasurer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 5

8(a)(i). Full Name	Una Troy
8(a)(ii). Relationship Start Date	06/26/2019
8(a)(iii). Title or Status	Director and President
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 6

8(a)(i). Full Name	Stephen Kyllo
8(a)(ii). Relationship Start Date	07/05/2020
8(a)(iii). Title or Status	SVP, Director & Chief Compliance Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 7

8(a)(i). Full Name	Jason White
8(a)(ii). Relationship Start Date	09/01/2021
8(a)(iii). Title or Status	Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

9. Does any person or entity not named in the answer to Question 8:

9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant, or;….  Yes   No

Entity information Related to item 9(a) Record: 1

9(a)(i). Exact name of each person or entity:	ALPS Holdings Inc., a DST Systems, Inc. company
9(a)(ii). Description of the Agreement or other basis:	ALPS Fund Services, Inc. is a wholly owned subsidiary of ALPS Holdings, Inc., which is a subsidiary of DST Systems, Inc.

Entity information Related to item 9(a) Record: 2

9(a)(i). Exact name of each person or entity:	DST Systems, Inc.
9(a)(ii). Description of the Agreement or other basis:	ALPS Fund Services, Inc. is a wholly owned indirect subsidiary of DST Systems, Inc.

Entity information Related to item 9(a) Record: 3

9(a)(i). Exact name of each person or entity:	SS&C Technologies Holdings, Inc.
9(a)(ii). Description of the Agreement or other basis:	ALPS Fund Services, Inc. is a wholly owned indirect subsidiary of SS&C Technologies Holdings, Inc.

9(b). wholly or partially finance the business of the applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others?…..  Yes   No

TA-1/A : 10. Applicant and Control Affiliate Disciplinary History

The following definitions apply for purposes of answering this Question 10

Control Affiliate	- An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority.
Investment or investment related	- Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association).
Involved	- Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.

10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contendere ("no contest") to:

10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting, or extortion?  Yes   No

10(a)(2). any other felony?  Yes   No

10(b). Has any court in the past ten years:
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity?	Yes   No

10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations?  Yes   No

10 (c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or control affiliate to have made a false statement or omission?	Yes   No

10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes?  Yes   No

Entity information Related to item 10(c)(2) Record: 1

10(c)(2)(i). The individuals named in the Action	ALPS Fund Services, Inc.
10(c)(2)(ii). Title of Action	Administrative Proceeding, File No. 3-16672
10(c)(2)(iii). Date of Action	07/01/2015
10(c)(2)(iv). The Court or body taking the Action and its location	U.S. Securities and Exchange Commission
10(c)(2)(v). Description of the Action	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.
10(c)(2)(vi). The disposition of the proceeding	Without admitting or denying the findings, AFS settled charges that it caused the funds to violate Rule 38a-1.

10(c)(3). found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?  Yes   No

10(c)(4). entered an order denying, suspending or revoking the applicant’s or control affiliate’s registration or otherwise disciplined it by restricting its activities?  Yes   No

10(d). Has any other Federal regulatory agency or any state regulatory agency :
10(d)(1). ever found the applicant or control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical?	Yes   No

10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes?  Yes   No

10(d)(3). ever found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business Denied, suspended, revoked or restricted?  Yes   No

10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity?  Yes   No

10(d)(5). ever denied, suspended, or revoked applicant’s or control affiliate’s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities?  Yes   No

Entity information Related to item 10(d)(5) Record: 1

10(d)(5)(i). The individuals named in the Action	ALPS Distributors, Inc.
10(d)(5)(ii). Title of Action	2011029728201
10(d)(5)(iii). Date of Action	10/14/2015
10(d)(5)(iv). The Court or body taking the Action and its location	Financial Industry Regulatory Authority, Inc.
10(d)(5)(v). Description of the Action	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.
10(d)(5)(vi). The disposition of the proceeding	Settlement reached. On October 14, 2015, FINRA issued the final Notice of Acceptance of Acceptance, Waiver and Consent No. 20110297282-01.

10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant?  Yes   No

10(e). Has any self-regulatory organization or commodities exchange ever:

10(e)(1). found the applicant or a control affiliate to have made a false statement or omission?  Yes   No

10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules?  Yes   No

Entity information Related to item 10(e)(2) Record: 1

10(e)(2)(i). The individuals named in the Action	ALPS Distributors, Inc.
10(e)(2)(ii). Title of Action	FINRA Letter of Acceptance, Waiver and Consent No. 20110297282-01
10(e)(2)(iii). Date of Action	10/14/2015
10(e)(2)(iv). The Court or body taking the Action and its location	FINRA
10(e)(2)(v). Description of the Action	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.
10(e)(2)(vi). The disposition of the proceeding	ADI has implemented procedures to address the issues identified in the AWC.

10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business?  Yes   No

10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities?  Yes   No

10(f). Has any foreign government, court, regulatory agency or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud?  Yes   No

10(g). Is the applicant or a control affiliate now the subject of a proceeding that could result in a yes answer for questions 10(a) – 10(f) ?  Yes   No

10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate?  Yes   No

10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it?  Yes   No

TA-1/A : Signature

ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true, correct and complete.

11(a). Signature of Official responsible for Form:	Una Troy
11(b). Telephone Number:	303-623-2577
11(c). Title of Signing Officer:	Director and President
11(d). Date Signed (Month/Day/Year):	03/23/2023