Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and registered investment advisors to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts.
Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. ● Inquiry Only ● Inquiry - $[ ] per event ● Per broker ID - $[ ] per month per ID ● Transaction Processing ● Implementation - $[ ] per management company ● Transaction – purchase, redeem, exchange, literature order - $[ ] per event ● New Account Set-up – may contain multiple fund/accounts - $[ ] per event ● Monthly Minimum Charge - $[ ] per month FAN MAIL – Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. ● Base Fee Per Management Company – file generation and delivery - $[ ] per year ● Per Record Charge ● Rep/Branch/ID - $[ ] ● Dealer - $[ ] ● Price Files - $[ ] or $[ ]/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. ● Setup - $[ ] ● Service - $[ ]/month/user ● Access to the following systems included: ● BDS – Statement Storage and Retrieval ● ReportSource – Mainframe T/A Report Library ● T/A Imaging – Thin Client AWD ● FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ● $[ ] per year per workstation for TA2000 AWD access ● Plus data communications setup and monthly charges based upon location and bandwidth ● Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES ● On-site at USBFS - $[ ] per day ● At client location - $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended Exhibit U (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at February, 2009 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● [ ] days or less – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ] days – [ ] year - $[ ] /open account ● [ ] ye...
Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts.
Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to us a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. · Inquiry Only · Inquiry - $[ ] per event · Per broker ID - $[ ] per month per ID · Transaction Processing · Implementation - $[ ] per management company · Transaction – purchase, redeem, exchange, literature order - $[ ] per event · New Account Set-up – may contain multiple fund/accounts - $[ ] per event · Monthly Minimum Charge - $[ ] per month Excessive Trader – Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. · $[ ] setup/fund group of [ ] funds, $[ ] setup/fund group of over [ ] funds · $[ ] /account/year
Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. ¢ Inquiry Only – Inquiry - $0.05 /event – Per broker ID - $5.00 /month per ID – 1-500 Number of ID’s – $4.00/month per ID – 501-1000 Number of ID’s – $3.00/month per ID – 1001-2000 Number of ID’s – $2.00/month per ID – 2001-3000 Number of ID’s – $0.00/month per ID – 3001 + Number of ID’s ¢ Transaction Processing – Implementation - $5,000 /management company – Transaction – purchase, redeem, exchange, literature order - $0.10 event – New Account Setup – $0.35/event – Monthly Minimum Charge - $500 /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* ¢ Individual Statement Retrieval Charge – $0.05/statement ¢ Batch Statement Load Charge – $0.03/image *Normal Vision ID and activity charges also apply.
Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $0.05 /event − Per broker ID - $5.00 /month per ID § Transaction Processing − Implementation - $5,000 /management company − Transaction – purchase, redeem, exchange, literature order - $0.50 /event − New Account Setup – $3.00 /event Monthly Minimum Charge - $500 /month Appendix I to Exhibit C (Electronic Services) Transfer Agent Servicing Agreement (continued) – Wisconsin Capital Funds, Inc. TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES Wisconsin Capital Funds, Inc. ANNUAL FEE SCHEDULE – from May 1, 2015 through April 30, 2017 Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − Develop eBusiness Solutions Software - $24,000 /fund group − Code Print Software - $10,000 /fund group § Load charges − $0.05 /image § Archive charge (for any image stored beyond 2 years) − $0.015 /document *Normal Vision ID and activity charges also apply.
Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $0.05 /event − Per broker ID - $5.00 /month per ID § Transaction Processing − Implementation - $5,000 /management company − Transaction – purchase, redeem, exchange, literature order - $0.50 /event − New Account Setup – $3.00 /event Monthly Minimum Charge - $500 /month
Vision Mutual Fund Gateway. Permits broker/dealers, financial planners and RIAs to use a Web-based system to perform account inquiry. u Inquiry Only – Inquiry $[ ] /event – Broker ID $[ ] /month/ID Client Web Data Access Client on-line access to fund and investor data through USBFS technology applications and data delivery security software. u $[ ] /month for ReportSource u $[ ] /month for DDS (Secure Data Delivery Services) Literature Fulfillment Services u Account Management $[ ] /month (account management, lead reporting and database administration) u Out-Of-Pocket Expenses Kit and order processing expenses, postage And printing Qualified Plan Fees (Billed to Investors) u $[ ] /qualified plan acct (Cap at $[ ] /SSN) u $[ ] /Covxxxxxx XXA acct (Cap at $[ ] /SSN) u $[ ] /transfer to successor trustee u $[ ] /participant distribution (Excluding SWPs) u $[ ] /refund of excess contribution Shareholder Fees (Billed to Investors) u $[ ] /outgoing wire transfer u $[ ] /overnight delivery u $[ ] /telephone exchange u $[ ] /return check or ACH u $[ ] /stop payment u $[ ] /research request per account (Cap at $[ ] /request) (For requested items of the second calendar year [or previous] to the request) Out-of-pocket Costs - Including but not limited to: u Telephone toll-free lines, call transfers, etc. u Mailing, sorting and postage u Stationery, envelopes u Programming, special reports u Insurance, record retention, microfilm/fiche u Proxies, proxy services u Lost shareholder search u ACH fees u NSCC charges u All other out-of-pocket expenses
Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to us a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. Inquiry Only • Inquiry - $.05 per event • Per broker ID - $5.00 per month per ID Transaction Processing • Implementation - $5,000 per management company • Transaction – purchase, redeem, exchange, literature order - $.50 per event • New Account Set-up – may contain multiple fund/accounts - $3.00 per event • Monthly Minimum Charge - $500.00 per month FAN MAIL – Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. Base Fee – file generation and delivery - $6,000 per year Per Record Charge • Rep/Branch/ID - $.018 • Dealer - $.012 • Price Files - $2,000
Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. ▪ Inquiry Only – Inquiry - $0.05 /event – Per broker ID - $5.00 /month per ID ▪ Transaction Processing – Implementation - $5,000 /management company – Transaction – purchase, redeem, exchange, literature order - $0.50 /event – New Account Setup – $3.00 /event – Monthly Minimum Charge - $500 /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* ▪ Implementation Fees – Develop eBusiness Solutions Software - $24,000 /fund group – Code Print Software - $10,000 /fund group ▪ Load charges – $0.05 /image ▪ Archive charge (for any image stored beyond 2 years) – $0.015 /document *Normal Vision ID and activity charges also apply. Exhibit D (continued) to the Transfer Agent Servicing Agreement – Brookfield Investments Funds TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE at September, 2011 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. ▪ Setup: MFx Portal - $3,000 ▪ Service - $200 /user per month ▪ Access to the following systems included: – BDS – Statement Storage and Retrieval – ReportSource – Mainframe T/A Report Library – T/A Imaging – Thin Client AWD – FundSource – Comprehensive Fund Information – 3270 – T/A Mainframe Access ▪ Custom Electronic File Exchange (DDS of delivery of TIP files) - $2,500 one time setup fee – $100 /file per month maintenance fee
