(i) |
monitor and evaluate the services provided to the Fund for the benefit of the Portfolio by the Portfolio’s custodian, transfer and dividend disbursing agents, printers, insurance carriers (as well as insurance
agents and insurance brokers), independent public accountants, legal counsel and other persons and entities who provide similar services to the Fund for the benefit of the Portfolio;
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(ii) |
monitor the preparation of periodic reports and notices of distributions to shareholders of the Portfolio;
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(iii) |
coordinate, monitor and evaluate the daily pricing and valuation of the Portfolio’s investment portfolio;
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(iv) |
monitor the Portfolio’s compliance with recordkeeping requirements of applicable federal, state, and foreign laws and regulations;
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(v) |
assist the Portfolio to comply with the provisions of applicable federal, state, and foreign tax laws and tax regulations;
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(vi) |
assist the Portfolio to comply with the provisions of applicable federal, state, local and foreign securities, organizational and other laws that govern the business of the Fund in respect of the Portfolio,
including with respect to the preparation of registration statements and other materials in connection with the offering of the Portfolio’s shares;
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(vii) |
monitor and coordinate the provision of trade administration oversight services to the Portfolio, including settlement oversight services, reconciliation services, collateral management oversight services, and
similar services, including recommending corrective action;
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(viii) |
assist the Portfolio to conduct meetings of the Portfolio’s shareholders if and when called by the Board;
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(ix) |
furnish such information to the Board as the Board may reasonably require in connection with the annual approval of this Agreement, and coordinate the provision of such other information as the Board may
reasonably request; and
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(x) |
provide the shareholders of the Portfolio with such information regarding the operation and affairs of the Portfolio, and their investment in its shares, as they or the Fund may reasonably request.
|
i. |
Fees and expenses paid to the Manager as provided herein;
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ii. |
Brokerage fees and commissions in connection with the purchase and sale of securities for the Portfolio;
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iii. |
Fees and expenses of transfer and dividend disbursing agents, sub-transfer agents, custodians, securities lending agents, administrators and shareholder servicing and record-keeping agents, including the
expenses of issue, repurchase or redemption of its shares;
|
iv. |
Fees and expenses of registering and maintaining the registration of the Portfolio and its shares under federal and any applicable state laws; including the printing and distribution of prospectuses to its
existing shareholders;
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v. |
Fees and expenses incident to meetings of the shareholders of the Fund, reports to the Portfolio’s shareholders, the filing of reports with regulatory bodies and the maintenance of the Portfolio’s and the
Fund’s legal existence;
|
vi. |
Fees and expenses of all audits by independent public accountants;
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vii. |
Fees and expenses of legal counsel to the Portfolio and/or the directors, including the legal fees related to the registration and continued qualification of the Portfolio’s shares for sale;
|
viii. |
Compensation of, and fees and expenses incurred by those individuals serving as, directors who are not directors, officers, employees or shareholders of the Manager or any of its affiliates;
|
ix. |
Fees and expenses relating to the pricing and return data of Portfolio assets and related indices to the extent necessary for disclosure in regulatory filings for the Fund, including expenses of obtaining
quotations for calculating the value of the Portfolio’s net assets;
|
x. |
The Portfolio’s pro rata portion of fidelity bond, errors and omissions, and director and officer liability insurance premiums;
|
xi. |
The Portfolio’s pro-rata portion of fees and expenses in connection with membership in investment company organizations or trade associations, as approved by the Board;
|
xii. |
Salaries and other compensation, in whole or in part, of officers and employees of the Fund who are not officers, directors, or employees of the Manager or its affiliates (provided, however, notwithstanding the
employment of officers or personnel by the Manager, the Fund shall be responsible for its pro rata portion of any salary and other compensation as may be payable to the Fund’s chief compliance officer);
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xiii. |
Fees and expenses incident to meetings of the Board;
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xiv. |
Taxes and other governmental fees levied against the Portfolio, and the preparation of the Fund’s tax returns;
|
xv. |
Investment fees and expenses of the Portfolio, including the interest expense of borrowing money;
|
xvi. |
Fees and expenses associated with obtaining tax reclaims for the Portfolio;
|
xvii. |
Fees and expenses associated with preparing the Portfolio’s filings with the Securities and Exchange Commission, Commodity Futures Trading Commission, National Futures Association, or other government agency or
regulatory body and any costs associated with disclosure, reporting and recordkeeping requirements with respect to such filings;
|
xviii. |
Fees and expenses associated with regulatory inquiries and examinations, regulatory proceedings, and regulatory investigations of the Portfolio;
|
xix. |
Fees and expenses incurred in connection with any litigation or regulatory proceeding, including class action proceedings, bankruptcy proceedings, and responses to subpoenas of any kind;
|
xx. |
Extraordinary fees and expenses of the Portfolio;
|
xxi. |
Fees and expenses associated with trade administration oversight services with respect to reconciliations, including: (a) assistance with Portfolio valuation and tax lot accounting; (b) daily reconciliation of
the Portfolio’s cash and positions with the Portfolio’s custodians; (c) detailed
|
xxii. |
Fees and expenses associated with trade administration oversight services with respect to settlement oversight, including: (a) capturing information for trades executed for the Portfolio and corporate action
elections and transmitting such information to custodians, other fund service providers and other third parties such as securities lending agents; and (b) coordinating with custodians and brokers to identify, investigate and resolve all
unmatched and failed trades and matters related to corporate actions;
|
xxiii. |
Fees and expenses associated with trade administration oversight services with respect to collateral management oversight, including: (a) the administration of the Portfolio’s margin accounts; (b) calculation
and management of daily margin calls; (c) transmission of instructions related to collateral settlement; and (d) reviews of collateral eligibility and substitute collateral;
|
xxiv. |
Fees and expenses related to the Portfolio’s, not the Manager’s, compliance program;
|
xxv. |
Fees and expenses associated with oversight of the securities lending activities of the Portfolio to the extent permissible by law; and
|
xxvi. |
Fees and expenses associated with the voting of proxies (or other requests for consent or approval of interest holders) with respect to securities or other assets held by the Portfolio, including certain
research services, as approved by the Board.
|
DIMENSIONAL FUND ADVISORS LP
|
DFA INVESTMENT DIMENSIONS GROUP INC.
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By:
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DIMENSIONAL HOLDINGS INC.,
General Partner |
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By:
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/s/ Gregory K. Hinkle
|
By:
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/s/ Carolyn O
|
|
Gregory K. Hinkle
|
Carolyn O
|
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Chief Financial Officer
|
Vice President and Secretary
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