Common use of Additional Services Clause in Contracts

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 2 contracts

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios), Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

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Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & Rule 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increaseincrease – “All Urban Consumers – U.S. City Average” index, Milwaukee MSAprovided that the CPI adjustment will not decrease the base fees (even if the cumulative CPI rate at any point in time is negative). + Subject to a 50% discount until net assets of the fund reach $_____. From $_____ to $_____ subject to a 15% discount on the entire basis points, minimum or base fees. After $_____, the discount will be removed entirely. Fees and minimums (including discounts) will be calculated and determined each month. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Fund Chief Compliance Officer (CCO) Services Annual Fee Schedule • $_____ for the first fund (subject to Board approval) • $_____ for each additional fund 2-5 (subject to change based on Board review and approval) • $_____ for each fund over 5 funds • $_____ per sub-adviser per fund (capped at $_____ per sub-adviser over the fund complex) • $_____ per external distributor • $_____ onboarding fee per fund complex • Per adviser relationship, and subject to change based upon board review and approval. • For more than one fund, fees will be aggregated and allocated equally. Additional services not included above shall be mutually agreed upon at the time of the service being added. In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase – All Urban Consumers – U.S. City Average” index, provided that the CPI adjustment will not decrease the base fees (even if the cumulative CPI rate at any point in time is negative). Fees are calculated pro rata and billed monthly. Exhibit F A (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Fund Services Agreement Transfer Agent – Xxxxxxxx Investment Advisers Fund Administration & Shareholder Services Supplemental Services – E-Commerce Portfolio Compliance Additional Services Fee Schedule at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group Transfer In-Kind • Tax Free Transfer In-Kind Cost Basis Tracking* includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select __ per sub-account per year Daily Compliance Services (Fund Groups under 50,000 open accountsif required) − Implementation - • Base fee+ – $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user fund per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account year • Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides per fund group + Subject to a 50% discount until net assets of the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − fund reach $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − __. From $___/image § Archive charge (for any image stored beyond 2 years) − __ to $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up subject to 2 hours of programminga 15% discount on the entire basis points, minimum or base fees. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: After $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems , the discount will be removed entirely. Fees and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems minimums (including discounts) will be calculated and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etcdetermined each month.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 2 contracts

Samples: Fund Servicing Agreement (Total Fund Solution), Fund Servicing Agreement (Total Fund Solution)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & Rule 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease following 18-month period or $100 million threshold being reached – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F (continued) C to the Trust for Advised Portfolios Professional Managers Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce - Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $____ per qualified plan account or Xxxxxxxxx ESA account (Cap at August, 2014 FAN Web $30.00 per SSN) § $____ per transfer to successor trustee § $____ per participant distribution (Excluding SWPs) § $____ per refund of excess contribution § $____ per reconversion/recharacterization Additional Shareholder internet Paid Fees § $____ per outgoing wire transfer or overnight delivery § $____ per telephone exchange § $____ per return check or ACH or stop payment § $____ per statement year requested per account (This fee applies to research requests for statements older than the prior year) CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $____ per CUSIP § Expedited CUSIP Setup – $____ per CUSIP (Less than 35 days) Fund Characteristic Change § Fund Name Change – $____ per fund/ per change § Fund CUSIP Change – $____ per fund/ per change Digital Investor Shareholder account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, and perform account maintenance activities. Electronic document delivery is also available as an adjunct service. Digital Investor includes user interface which caters to a full range of connected devices, including tablets and smart phones. The standard implementation comes with advanced authentication, eCommerce inspired workflows, and a base package of transaction history, purchase additional shares through ACH, etcand maintenance functionality. § FAN Web Premium (Fund Groups over 50,000 open accounts) − ▪ Digital Investor • Implementation - $)___/fund group includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - _ per fund group • Annual Base Fee – $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § per year Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request. ▪ Activity (Session) Fees: Inquiry - $___/event − Account Maintenance - _ per event • Login Challenge – $___/event − _ per event • Account Maintenance – $____ per event • Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − _ per event • New Account Setup - Set-up – $___/event (Not available with FAN Web Select) § Strong Authentication: − _ per event • Bank Verification Attempt – $___/month _ per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event event 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 - $___/year _ per year § Per Record Charge Rep/Branch/ID - $____ - Dealer - $____ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Transfer Agent & Shareholder Services - Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $____ /month Vision per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund _ per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $charges-$___/image § _ per image - Archive charge (for any image stored beyond 2 years) − $years)-$ ___/document _ per document *Normal Vision ID and activity event charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 2 contracts

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers), Form of Transfer Agent Servicing Agreement (Trust for Professional Managers)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ _/hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees: − Inquiry - $___/event − Maintenance - $___/event − Transaction - $___/event − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges $___/image § Archive charge (for any image stored beyond 2 years) $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval Setup: $___ /user Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) Support: $___ /file per month Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) Setup: $___one-time fee Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers $___implementation $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. $___ implementation $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. $___implementation $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. $___implementation $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. $___implementation $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. $___implementation $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: Fund setup programming (transfer agent system, statements, options, etc.) Conversion programming Customized service development Voice response system setup (menu selections, shareholder system integration, testing, etc.) All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 2 contracts

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios), Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & Rule 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F N (continued) to the Trust for Advised Portfolios Fund Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce - Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees ▪ $__ per qualified plan account or Xxxxxxxxx ESA account (Cap at August, 2014 FAN Web $__ per SSN) ▪ $__ per transfer to successor trustee ▪ $__ per participant distribution (Excluding SWPs) ▪ $__ per refund of excess contribution ▪ $__ per reconversion/recharacterization Additional Shareholder internet Paid Fees ▪ $__ per outgoing wire transfer or overnight delivery ▪ $__ per telephone exchange ▪ $__ per return check or ACH or stop payment ▪ $__ per statement year requested per account (This fee applies to research requests for statements older than the prior year) CUSIP Setup ▪ CUSIP Setup beyond the initial CUSIP - $__ per CUSIP ▪ Expedited CUSIP Setup - $__ per CUSIP (Less than 35 days) Fund Characteristic Change ▪ Fund Name Change - $__ per fund/ per change ▪ Fund CUSIP Change - $__ per fund/ per change Digital Investor Shareholder account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, and perform account maintenance activities. Electronic document delivery is also available as an adjunct service. Digital Investor includes user interface which caters to a full range of connected devices, including tablets and smart phones. The standard implementation comes with advanced authentication, eCommerce inspired workflows, and a base package of transaction history, purchase additional shares through ACH, etcand maintenance functionality. § FAN Web Premium (Fund Groups over 50,000 open accounts) − ▪ Digital Investor • Implementation - $)___/fund _ per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § per year Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request. ▪ Activity (Session) Fees: Inquiry - $__ per event • Login Challenge - $__/event − _ per event • Account Maintenance - $___/event − _ per event • Transaction - financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − _ per event • New Account Setup Set-up - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month _ per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee event • Bank Verification Attempt - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event per event 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 - $___/year § _ per year ▪ Per Record Charge Rep/Branch/ID - $___ Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − ¤ Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § ¤ Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction - purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $__ per month ¤ Electronic Statements* - Implementation- $__ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $per fund group - Load charges-$___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § _ per image - Archive charge (for any image stored beyond 2 years) − $years)-$ ___/document _ per document *Normal Vision ID and activity event charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 2 contracts

Samples: Agent Servicing Agreement (Series Portfolios Trust), Transfer Agent Servicing Agreement (Series Portfolios Trust)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon and documented on the following services - Additional Services fee schedule FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees • $15.00 per qualified plan account or Xxxxxxxxx ESA account (Cap at August, 2014 FAN Web $30.00 per SSN) • $25.00 per transfer to successor trustee • $25.00 per participant distribution (Excluding SWPs) • $25.00 per refund of excess contribution • $25.00 per reconversion/re-characterization Additional Shareholder internet Paid Fees • $15.00 per outgoing wire transfer or overnight delivery • $5.00 per telephone exchange • $25.00 per return check or ACH or stop payment • $10.00 per research request per account (This fee applies to requests for statements older than the prior year) CUSIP Setup • CUSIP Setup beyond the initial CUSIP – $1,500 per CUSIP • Expedited CUSIP Setup – $3,000 per CUSIP (Less than 35 days) Fund Characteristic Change • Fund Name Change – $500 per fund/ per change • Fund CUSIP Change – $500 per fund/ per change Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Vision Electronic Statement Services Online account access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 accountsRIAs. § Inquiry Only − • Account inquiry • Inquiry - $___/event − Per broker 0.05 per event • Vision ID - $___/month 5.00 per month per ID § Transaction Processing − Processing* • Implementation Fee - $___/management company − 5,000 per Management Company • Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − 0.50 per event • Monthly Minimum Charge - $___ /month Vision 500 per month • Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − • Implementation- $___/fund 5,000 per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § charges-$0.05 per image • Archive charge (for any image stored beyond 2 years) − $___/document *Normal years)-$0.015 per document * Vision ID and activity event charges also apply. Fund Source Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS • $250 per Month Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredUnlimited Users

Appears in 2 contracts

Samples: Transfer Agent Servicing Agreement (Cushing Mutual Funds Trust), Transfer Agent Servicing Agreement (Cushing Mutual Funds Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. increase - All Urban Consumers - U.S. City Average Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule services fee schedule at AugustJuly 1, 2014 2015 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund [ ] per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year [ ] per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund [ ] per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year [ ] per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour [ ] per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event [ ] per event − Account Maintenance - $___/event [ ] per event − Transaction – financial transactions, reorder statements, etc. - $___/event [ ] per event − New Account Setup - $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: − $___/month [ ] per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $___ [ ] per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $___ [ ] per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $[ ] per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $[ ] per year § Customization - $[ ] per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  [ ] per event Account Maintenance - $___/event  [ ] per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  [ ] per event − New Account Establishment Setup Set-up - $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: − $[ ] per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) 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 - $___/year [ ] per year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Vision 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 - $___/event [ ] per event − Per broker ID - $___/month [ ] per month per ID § Transaction Processing − Implementation - $___/management [ ] per management company − Transaction – purchase, redeem, exchange, literature order - $___/event [ ] per event − New Account Setup – $___/event [ ] per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 [ ] per month Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredAgreement

Appears in 2 contracts

Samples: Transfer Agent Servicing Agreement (Hatteras Alternative Mutual Funds Trust), Transfer Agent Servicing Agreement (Underlying Funds Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Advisor’s Signature not required as of _______, 2017 as the fees are not being changed. Amended Exhibit F U (continued) to the Trust for Advised Portfolios PMP Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustMay, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) − Implementation - $)___/fund [ ] per fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___/year [ ] per year § FAN Web Select (Fund Groups under 50,000 [ ] open accounts) − Implementation - $___/fund [ ] per fund group – includes up to 10 [ ] hours of technical/BSA support − Annual Base Fee - $___/year [ ] per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour [ ] per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event [ ] per event − Account Maintenance - $___/event [ ] per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event [ ] per event − New Account Setup - $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: − $___/month [ ] per month per active FAN Web ID (Any ID that has had activity within the 180-day [ ]-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over [ ] open accounts) § Implementation Site Setup Fee - $___ [ ] per fund group – includes up to [ ] hours of technical/BSA support § Monthly Annual Base Fee - $___ [ ] per year § Transaction FAN Web Select (Fund Groups under [ ] open accounts) − Implementation – $[ ] per fund group – includes up to [ ] hours of technical/BSA support − Annual Base Fee - $[ ] per year § Customization - $[ ] per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  [ ] per event Account Maintenance - $___/event  [ ] per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  [ ] per event − New Account Establishment Setup Set-up - $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: − $[ ] per month per active FAN Web ID (Any ID that has had activity within the [ ]-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year [ ] per year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Vision Permits broker/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 - $___/event [ ] per event − Per broker ID - $___/month [ ] per month per ID § Transaction Processing − Implementation - $___/management [ ] per management company − Transaction – purchase, redeem, exchange, literature order - $___/event [ ] per event − New Account Setup – $___/event [ ] per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries [ ] per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines. - $___/fund group Lxxx Mxxxx 3 [ ] per Month - Unlimited Users Amended Exhibit F U (continued) to the Trust for Advised Portfolios PMP Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at AugustMay, 2014 Vision Electronic Statements (Continued) § Load charges − 2016 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. [ ] per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user − [ ] per user - Support: $___ /user [ ] per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[ ] per user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredbeyond [ ] users included as part of setup

Appears in 2 contracts

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios), Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim Osterweis services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & Rule 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). FIRST AMERICAN SERVICE ORG -- for assets and shareholder activity in the First American Service Org, the following charges are waived: CUSIP Set-Up Fee, CUSIP Monthly Fee, Open Account Fee, Closed Account Fee, Basis Points on assets, and Select Reports Associated with First American address files for annual required mailings * Subject to annual CPI increaseincrease - All Urban Consumers - U.S. City Average index, Milwaukee MSAprovided that the CPI adjustment will not decrease the base fees (even if the cumulative CPI rate at any point in time is negative). CPI IS WAIVED Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement a closed account shall be charged in the month following the month during which such account is closed. Transfer Agent & Shareholder Services Supplemental Services – E-Commerce (Additional Services Fee Schedule Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees ■ $ ___ per qualified plan account or Xxxxxxxxx ESA account (Cap at August, 2014 FAN Web $___ per SSN) ■ $ ___ per transfer to successor trustee ■ $ ___ per participant distribution (Excluding SWPs) ■ $ ___ per refund of excess contribution ■ $ ___ per reconversion/recharacterization Additional Shareholder internet Paid Fees ■ $ ___ per outgoing wire transfer or overnight delivery ■ $ ___ per telephone exchange ■ $ ___ per return check or ACH or stop payment ■ $ ___ per statement year requested per account (This fee applies to research requests for statements older than the prior year) Digital Investor Shareholder account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, and perform account maintenance activities. Electronic document delivery is also available as an adjunct service. Digital Investor includes user interface which caters to a full range of connected devices, including tablets and smart phones. The standard implementation comes with advanced authentication, eCommerce inspired workflows, and a base package of transaction history, purchase additional shares through ACH, etcand maintenance functionality. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)■ Digital Investor • $ ___/fund group – includes _ Set up to 25 hours of technicalFee • Set up Fees for New Account Set Up & Bank Verify, Systematic Purchase (add/BSA support − Annual Base Fee - $___/year § FAN Web Select change/delete), and Systematic Redeem (Fund Groups under 50,000 open accountsadd/change/delete) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - are waived. • $___ /hour § Annual Base Fee • Annual Base Fee includes New Account Set Up & Bank Verify, Systematic Purchase (add/change/delete), and Systematic Redeem (add/change/delete). Annual Base Fees for these three services are waived. ■ Digital Investor Activity (Session) Fees: − Inquiry - $• $ ___ per event, Login Challenge Osterweis • $ _/event − __ per event, Inquiry • $ ___ per event, Security Validation • $ ___ per event, Account Maintenance - $• $ ___/event − _ per event, Transaction - financial transactions, reorder statementsduplicate statements requests, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $• $ ___ § Monthly Base Fee - $per event, New Account Set-up • $ ___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event per event, Bank Verification Attempt Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request. 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. § ■ $ ___ per year, Base Fee Per Management Company - file generation and delivery - $___/year § Per Record Charge • $ ___ Rep/Branch/ID - • $ ___ Dealer ■ $ ___ per record Price Files or $___ − Dealer - $___ § Price Files - $___/record or $___/user per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Inquiry - $■ Account inquiry • $ ___/event − Per broker ID - $_ per event Inquiry • $ ___/month _ per month per ID § Vision ID • Transaction Processing − Implementation - $Processing* • $ ___ per Management Company Implementation Fee • $ _/management company − __ per event Transaction - purchase, redeem, exchange, literature order - $and exchange • $ ___/event − New Account Setup – $___/event − _ per month Monthly Minimum Charge - $■ Electronic Statements* • $ ___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § per fund group Implementation Fees − $• $ ___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § _ per image Load charges − $• $ ___/image § _ per document Archive charge (• Archive charge is for any image stored beyond 2 years) − $years Electronic Correspondence Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ■ $ ___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS U.S. Bank client on-line access to fund and investor data through USBFS U.S. Bank technology applications and data delivery and security software. § BDS – ■ STAT - Statement and Tax Form Storage & Retrieval − Setup: $• $ ___ /user − Support: $per user Setup • $ ___ /user per user per month Support Setup: Included in initial fund Setup on Transfer Agent system Additional Data Delivery Services § Ad Hoc/ PowerSelect Hoc/Power Select File Development − Setup: $• $ ___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $per file Standard ad-hoc select • $ ___ / per hour consultation and development.) − Support: $programming development for Custom coded data for recurring, scheduled delivery • $ ___ /file per file per month − Files can be for recurring files/reports scheduled for delivery via Report Source - Support Charges • Recurring files scheduled for delivery via Report Source. § Osterweis ■ Custom Electronic File Exchange (DDS MFS delivery of standard TIP files) − Setup: $• $ ____ one-time fee − Support: to Setup • $ ___ per file per month, Support ■ File Delivery to Alternate Sales Reporting Provider • $ ___ one-time fee to Setup • $ ___ per file per month Maintenance Fee Chat Services ■ $ ___ Implementation Fee ■ $ ___ per month Monthly Fee ■ $ ___ per Chat Fee or $___ /file per month minute of chat Electronic Form Delivery and Signature Capture ■ $ ___ Implementation fee (includes 15 forms) ■ $ ___ for each additional form and email template - Additional setup fee ■ $ ___ per form, Form and fund logo modifications ■ $ ___ per updated Fund Logo ■ $ ___ per month, Monthly minimum fee ■ $ ___ Per electronic envelope Fee Recordkeeping Application Access § Internet VPN - Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $• $ ___ /month § implementation • $ ___ per month ■ Physical Network - Infrastructure to allow for application accessibility to host systems and file transfers Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $• $ ___ implementation − $• $ ___ /ID per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $• $ ___ /ID implementation • $ ___ per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) - Account inquiry only. − $___implementation − $• $ ___ /ID implementation • $ ___ per ID per month § Automated Work Distributor (AWD) - Image and workflow application. − $___implementation − $• $ ___ /ID implementation • $ ___ per ID per month § Same Day Cash Management (SDCM) - Fund level transaction and cash reporting. − $___implementation − $• $ ___ /ID implementation • $ ___ per ID per month § PowerSelect - SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $• $ ___ /hour § per month Programming Services ■ $ ___ per hour (subject to change) Osterweis ■ Charges incurred for customized services based upon fund family requirements including but not limited to: Fund setup Setup programming (transfer agent Agent system, statements, options, etc.) − Conversion programming − Customized service development Voice response system setup (menu selections, shareholder system integration, testing, etc.) All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirementsBasis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. Transfer Agent & ■ $ ___ per direct open account per year - WAIVED Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: ■ $ ___ setup per fund group ■ $ ___ per month administration ■ $ ___ per received email correspondence Dealer Reclaim Services Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. ■ $ ___ per fund group per month CTI Reporting Integrated custom detailed call reporting - $ ___ per monthly report Literature Fulfillment Services ■ Account Management/Database Administration • $ ___ per month • $ ___ per SKU - Receiving • $ ___ per order - Order Processing • $ ___ per month per location - Skid Storage • $ ___ per SKU - Disposal ■ Inbound Tele servicing Only • $ ___ per month Account Management (OR) • $ ___ per call, Call Servicing ■ Lead Source Reporting • $ ___ per month ■ Closed Loop Reporting • $ ___ per month, Account Management • $ ___ per fund group, Database Installation, Setup ■ Miscellaneous Expenses • Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. ■ $ ___ per Month Dealer Survey Completion Dealer fund survey requests - $___/day § At Client Location - $_ per hour for completion and quality validation Fund Event* Services ■ $ ___/day plus travel /hour, Programming & File Delivery ■ $ ___/hour, Project Management/Analysis ■ $ ___/account/month, Account Data Retention - until purged* ■ $ ___/CUSIP/month, CUSIP Data Retention - until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and outSystematic) and Non-of-pocket expenses if requiredTaxable Reorganizations (into U.S. Bank or out to Osterweis another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. CUSIP Setup ■ $ ___ per CUSIP - CUSIP Setup beyond the initial CUSIP ■ $ ___ per CUSIP (Less than 35 days) - Expedited CUSIP Setup Fund Characteristic Change ■ $ ___ per fund/ per change - Fund Name Change ■ $ ___ per fund/ per change - Fund CUSIP Change Informa Shareholder Electronic Statement Services eCDLY will load shareowner daily confirmations (financial transactions only, does not include maintenance confirmations) and send notification to consented shareowners of a new document to view. ■ $ ___ per statement, Document Loading, Storage, and Access ■ $ ___ per suppressed statement, Document Consent Processing, Suppression, and Notification ■ $ ___ initial setup fee, Development & Implementation of Electronic Confirm Statements Electronic Investor Statement Presentation eStatements will load shareowner investor statements in a PDF format and send notification to the consented shareowners of a new document to view. ■ $ ___ per statement, Document Loading, Storage, and Access ■ $ ___ per suppressed statement, Document Consent Processing, Suppression, and Notification ■ $ ___ initial setup fee, Development & Implementation of Electronic Investor Statements Electronic Tax Presentation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. ■ $ ___ per statement, Document Loading, Storage, and Access ■ $ ___ per suppressed statement, Document Consent Processing, Suppression, and Notification ■ $ ___ initial setup fee, Development & Implementation of Electronic Tax Statements

Appears in 2 contracts

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios), Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Sound Point Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustMay, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 ____open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 ___open accounts) − Implementation - $____/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Sound Point Exhibit D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (Continued) at May, 2014 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ _/user - Support: $___ /user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - $___/ user per month beyond 2 users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyondper file - Custom coded data for recurring, additional time will be scheduled delivery: $___ / per hour consultation and development.) − programming development - Support: $___ /file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___one-time fee - Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ _/month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ _/ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F Programming Charges- (continuedsubject to change at prevailing rate of vendor) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. requirements Sound Point Exhibit D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at AugustMay, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $___/direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $___setup /fund group § $___ /month administration § $___/received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $___/fund group per month Literature Fulfillment Services* § Account Management − $___ /month § Inbound Teleservicing Only − Account Management - $___ /month − Call Servicing - $___/minute § Lead Source Reporting − $___ /month § Closed Loop Reporting − Account Management - $___ /month − Database Installation, Setup - $___/fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $___/monthly report Sound Point Exhibit D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at May, 2014 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $___/qualified plan account or Cxxxxxxxx ESA account (Cap at $___/SSN) § $___/transfer to successor trustee § $___/participant distribution (Excluding SWPs) § $___/refund of excess contribution § $___/reconversion/recharacterization Additional Shareholder Paid Fees § $___/outgoing wire transfer or overnight delivery § $___/telephone exchange § $___/return check or ACH or stop payment § $___/research request per account (This fee applies to requests for statements older than the prior year)

Appears in 2 contracts

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios), Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Execution Copy Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services E-Commerce Services The GoodHaven Funds Trust Fee Schedule Schedules at AugustFebruary, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) − Implementation - $)___/fund [ ] per fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___/year [ ] per year § FAN Web Select (Fund Groups under 50,000 [ ] open accounts) − Implementation - $___/fund [ ] per fund group – includes up to 10 [ ] hours of technical/BSA support − Annual Base Fee - $___/year [ ] per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour [ ] per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event [ ] per event − Account Maintenance - $___/event [ ] per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event [ ] per event − New Account Setup - $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: − $___/month [ ] per month per active FAN Web ID (Any ID that has had activity within the 180-day [ ]-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over [ ] open accounts) § Implementation Site Setup Fee - $___ [ ] per fund group – includes up to [ ] hours of technical/BSA support § Monthly Annual Base Fee - $___ [ ] per year § Transaction FAN Web Select (Fund Groups under [ ] open accounts) − Implementation – $[ ] per fund group – includes up to [ ] hours of technical/BSA support − Annual Base Fee - $[ ] per year § Customization - $[ ] per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  [ ] per event Account Maintenance - $___/event  [ ] per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  [ ] per event − New Account Establishment Setup Set-up - $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: − $[ ] per month per active FAN Web ID (Any ID that has had activity within the [ ]-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year [ ] per year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Vision Permits broker/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 - $___/event [ ] per event − Per broker ID - $___/month [ ] per month per ID § Transaction Processing − Implementation - $___/management [ ] per management company − Transaction – purchase, redeem, exchange, literature order - $___/event [ ] per event − New Account Setup – $___/event [ ] per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries [ ] per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines. - $___/fund group Lxxx Mxxxx 3 [ ] per Month - Unlimited Users Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services – The GoodHaven Funds Trust Supplemental Services – E-Commerce Services Fee Schedule (continued) at AugustFebruary, 2014 Vision Electronic Statements (Continued) § Load charges − 2016 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. [ ] per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user − [ ] per user - Support: $___ /user [ ] per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[ ] per user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredbeyond [ ] users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (GoodHaven Funds Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data accessaccess (MFx Portal), recordkeeping application client dedicated line data access, programming charges, outbound calling & marketing campaignstraining, trainingShort-Term Trader reporting, cost basis reporting, Excessive Trader, 12b-1 aging, investor email e-mail services, dealer reclaim services, literature fulfillmentshareholder performance statements, Same Day Cash Flow System, money market fund service organizations, charges paid by investors, literature fulfillment, physical certificate processing, Real Time Cash FlowJumbo pricing, expedited CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Pzena Amended Exhibit F (continued) GG to the Advisors Series Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule COMMERCE SERVICES FEE SCHEDULE at AugustMarch, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup Set-up - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record _ or $____ /user per month, whichever is less 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $____ /management company − Transaction – purchase, redeem, exchange, literature order - $____ /event − New Account Setup – $____ /event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − Develop eBusiness Solutions Software - $____ /fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) − Code Print Software - $___ /fund group § Load charges − $____ /image § Archive charge (for any image stored beyond 2 years) − $____ /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access Pzena Amended Exhibit GG to fund and investor data through USBFS technology applications and data delivery and security software. the Advisors Series Trust Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at March, 2014 FAF Money Market Fund Service Organizations § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support/money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: /qualified plan account or Xxxxxxxxx ESA account (Cap at $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be /SSN) § $___ / hour consultation and development.) − Support: /transfer to successor trustee § $___ /file per month − Files can be scheduled for delivery via Report Source. /participant distribution (Excluding SWPs) § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access /refund of excess contribution § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___ /reconversion/recharacterization Additional Shareholder Paid Fees § $_implementation __ /outgoing wire transfer or overnight delivery § $___ /telephone exchange § $___ /return check or ACH or stop payment § $___ /research request per account (Cap at $___ /request) (This fee applies to requests for statements older than the prior year) Literature Fulfillment Services* § Account Management − $___ /month (account management, lead reporting and database administration) § Physical Network – Infrastructure to allow for application accessibility to host systems Out-of-Pocket Expenses − Kit and file transfers order processing expenses, postage, and printing § Inbound Teleservicing Only Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − Management - $___ implementation /month Call Servicing - $___ /ID per month /minute § TA2000 Desktop Lead Conversion Reporting (Graphic User Interface to the TA2000 MainframeClosed Loop) Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − Management - $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. /month $___implementation − Database Installation, Setup - $___ /ID per month § Automated Work Distributor /fund group − Specialized Programming - (AWD) – Image Separate Quote)* *Fees exclude postage and workflow applicationprinting charges. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Advisor’s Signature not required as fees are not changing; only the Pzena Small Cap Value Fund level transaction and cash reportingis being added. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredPzena

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Advisors Series Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F (continued) I to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustNovember, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 __ hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 __hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $0.25____ /event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Vision Electronic Statements (Continued) § Load charges − $__/image § Archive charge (for any image stored beyond 2 years) − $__/document *Normal Vision ID and activity charges also apply. Exhibit F (continued) I to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user - Support: $___ /user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - $__/ user per month beyond 2 users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $__ per file - Custom coded data for recurring, scheduled delivery: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / per hour consultation and development.) − programming development - Support: $___ /file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___one-time fee - Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F Programming Charges- (continuedsubject to change at prevailing rate of vendor) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit I to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at AugustNovember, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $__/direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $__setup /fund group § $__ /month administration § $__/received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $__/fund group per month Literature Fulfillment Services* § Account Management − $__ /month § Inbound Teleservicing Only − Account Management - $__ /month − Call Servicing - $__/minute § Lead Source Reporting − $__/month § Closed Loop Reporting − Account Management - $__ /month − Database Installation, Setup - $__/fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $__ /monthly report Exhibit I to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at November, 2014 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $__/qualified plan account or Cxxxxxxxx ESA account (Cap at $__/SSN) § $__/transfer to successor trustee § $__/participant distribution (Excluding SWPs) § $__/refund of excess contribution § $__/reconversion/recharacterization Additional Shareholder Paid Fees § $__/outgoing wire transfer or overnight delivery § $__/telephone exchange § $__/return check or ACH or stop payment § $__/research request per account (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data accessaccess (MFx Portal), recordkeeping application client dedicated line data access, programming charges, outbound calling & marketing campaignstraining, trainingShort-Term Trader reporting, cost basis reporting, Excessive Trader, 12b-1 aging, investor email e-mail services, dealer reclaim services, literature fulfillmentshareholder performance statements, Same Day Cash Flow System, money market fund service organizations, charges paid by investors, literature fulfillment, physical certificate processing, Real Time Cash FlowJumbo pricing, expedited CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Advisor’s signature below acknowledges approval of the five (5) fee schedules on this Exhibit F C. By: Xxxxxxx Capital Investments, LLC Name: /s/ Xxxxxxx Xxxxx Title: Portfolio Manager Date: 4/27/12 Xxxxxxx Capital 4/2012 Exhibit C (continued) to the Trust for Advised Portfolios Professional Managers Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule Fees at AugustApril, 2014 2012 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)____ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $____ /hour § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup Set-up - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $____ − Dealer - $____ § Price Files - $___/record _ or $____ /user per month, whichever is less 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $____/management company − Transaction – purchase, redeem, exchange, literature order - $____ /event − New Account Setup – $____ /event − Monthly Minimum Charge - $____ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − Develop eBusiness Solutions Software - $____ /fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) − Code Print Software - $____ /fund group § Load charges − $____ /image § Archive charge (for any image stored beyond 2 years) − $____ /document *Normal Vision ID and activity charges also apply. Xxxxxxx Capital 4/2012 TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE at April, 2012 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: MFx Portal - $____ /user − Support: § Service - $____ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development Access to the following systems included: Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation BDS – Statement Storage and development.) Retrieval Support: $___ /file per month ReportSource – Mainframe T/A Report Library Files can be scheduled for delivery via Report Source. T/A Imaging – Thin Client AWD − FundSource – Comprehensive Fund Information − 3270 – T/A Mainframe Access § Custom Electronic File Exchange (DDS of delivery of standard TIP files) − Setup: - $___one-_ one time setup fee − Support: - $____ /file per month Recordkeeping Application Access maintenance fee For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month /year per workstation for TA2000 AWD access § Physical Network – Infrastructure to allow for application accessibility to host systems Plus data communications setup and file transfers − Cost varies depending monthly charges based upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – EPlus training billed at hourly rates plus out-Commerce Services Fee Schedule (continued) at August, 2014 of-pocket expenses Programming Charges § $____ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Select reports – shareholder system queries for customized reporting, mailings, etc. - File transmissions of client requested shareholder data file extracts - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling Xxxxxxx Capital 4/2012 TRANSFER AGENT & Marketing Campaigns SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at April, 2012 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. Fees will be applied if the fund(s) have a redemption fee. § 90 days or less: $____ /open account § 91-180 days: $____ /open account § 181-270 days: $____ /open account § 271 days – 1 year: $____ /open account § 1 year – 2 years: $____ /open account 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 1-5 funds, $____ setup /fund group of over 5 funds § $____ /account per year Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts based upon an average cost single category basis calculation. § $____ /direct open account per year Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on project investor statements. Actual costs will depend upon specific client requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS Setup - $___/day _ /fund group § At Client Location Annual Fee - $____ /open and closed account 12b-1 Distribution Fee Aging – Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age will be charged at $____ per open account per year. Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $____ /fund group per month Jumbo Pricing – allows grouping of accounts for calculating the advanced commission paid to a dealer. § $____ /account group per year Same Day Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – $____ § Training - Webex - $____ /user - On Site - $____ /day plus travel and out-of-pocket expenses if required§ Real Time Data Feeds - Implementation (per feed) - $____ /hour (8 hour estimate) - Recurring (per feed) - $____ /month Xxxxxxx Capital 4/2012 TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at April, 2012

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)FundSource, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Exhibit F Z (continued) to the Trust for Advised Portfolios Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustMay, 2014 2017 CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $[…] per CUSIP § Expedited CUSIP Setup – $[…] per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) - Implementation - $)___/fund […] per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year […] per year § FAN Web Select (Fund Groups under 50,000 open accounts) - Implementation - $___/fund […] per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately […] per year § Customization - $___ /hour […] per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry – $[…] […] per event - $___/event − Account Maintenance – $[…] per event - $___/event − Transaction – financial transactions, reorder statementsduplicate statement requests, etc. – $[…] per event - $___/event − New Account Setup - Set-up – $___/event […] per event (Not available with FAN Web Select) § Strong Authentication: - $___/month […] per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year […] per year § Per Record Charge - Rep/Branch/ID – $[…] - Dealer – $___ − Dealer - $___ […] § Price Files - $___/record […] per record or $___/user […] per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker […] per event - Vision ID - $___/month […] per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − […] per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − […] per event - Monthly Minimum Charge - $___ /month Vision […] per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund […] per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$[…] per image - Archive charge (for any image stored beyond 2 years) − $___/document years)-$[…] per document *Normal Vision ID and activity event charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Additional Services. Available but not included above are the following services - Expedited CUSIP setup, FAN Web shareholder e-commerce, Vision intermediary e-commerce, FAN Mail electronic data delivery, Vision intermediary sales reporting data warehouse, investor e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim mail services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI lead conversion reporting, sales reporting & 22c-2 reporting (MARS)12b-1 aging, electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Same Day Cash Flow System, and additional services mutually agreed uponShort-Term Trader reporting. *Subject to annual CPI increaseNo advisor signature required on these transfer agent fee schedules as the fees are not changing at December 3, Milwaukee MSA2015. Fees are calculated pro rata and billed monthly. O’Xxxxxxxxxxx Amended Exhibit F (continued) U to the Advisors Series Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule COMMERCE SERVICES FEE SCHEDULE at AugustJune, 2014 2010 FAN Web WEB Shareholder internet access to account information and transaction capabilities through a hyperlink transparent link at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 ___ open accounts) − Implementation - $)____ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 ___ open accounts) – See Functionality Worksheet − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required)

Appears in 1 contract

Samples: Advisors Series Trust (Advisors Series Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services E-Commerce Services Fee Schedule FundX Investment Trust Fees at AugustSeptember, 2014 2017 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) − Implementation - $)___[ ]/fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ]/year § FAN Web Select (Fund Groups under 50,000 [ ] open accounts) − Implementation - $___[ ]/fund group – includes up to 10 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ]/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour [ ]/hour- (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___[ ] /event − Account Maintenance - $___[ ]/event − Transaction – financial transactions, reorder statements, etc. - $___[ ]/event − New Account Setup - $___[ ]/event (Not available with FAN Web Select) § Strong Authentication: − $___[ ]/month per active FAN Web ID (Any ID that has had activity within the 180-day [ ]-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___[ ]/year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___[ ]/record or $___[ ]/user per month, whichever is less Vision 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 - $___[ ]/event − Per broker ID - $___[ ]/month per ID § Transaction Processing − Implementation - $___[ ]/management company − Transaction – purchase, redeem, exchange, literature order - $___[ ]/event − New Account Setup – $___[ ]/event − Monthly Minimum Charge - $___ [ ]/month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___[ ]/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___[ ]/image § Archive charge (for any image stored beyond 2 [ ] years) − $___[ ]/document *Normal Vision ID and activity charges also apply. Exhibit D (continued) to the Transfer Agent Servicing Agreement – FundX Investment Trust Fees at September, 2017 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ [ ]/user - Support: $___ [ ]/user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - $[ ]/ user per month beyond [ ] users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyond[ ] per file - Custom coded data for recurring, additional time will be scheduled delivery: $___ / [ ] per hour consultation and development.) − programming development - Support: $___ [ ]/file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___[ ] one-time fee - Support: $___ [ ] /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___[ ] implementation − $___ [ ]/month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ [ ] implementation − $___ [ ]/ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___[ ] implementation − $___ [ ]/ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___[ ] implementation − $___ [ ]/ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___[ ] implementation − $___ [ ]/ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___[ ] implementation − $___ [ ]/ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___[ ]/month Lxxx Mxxxx 4 Exhibit F Programming Charges- (continuedsubject to change at prevailing rate of vendor) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ [ ]/hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit D (continued) to the Transfer Agent & Shareholder Services Supplemental Services Fee Schedule Servicing Agreement – FundX Investment Trust Fees at AugustSeptember, 2014 2017 Transfer Agent Training Services § On-site at USBFS - $___[ ]/day § At Client Location - $___[ ]/day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[ ]/direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] setup /fund group § $[ ]/month administration § $[ ]/received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[ ]/fund group per month Literature Fulfillment Services* § Account Management − $[ ]/month § Inbound Teleservicing Only − Account Management - $[ ]/month − Call Servicing - $[ ]/minute § Lead Source Reporting − $[ ]/month § Closed Loop Reporting − Account Management - $[ ]/month − Database Installation, Setup - $[ ]/fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $[ ]/monthly report Exhibit D (continued) to the Transfer Agent Servicing Agreement – FundX Investment Trust Fees at September, 2017 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $15.00 /qualified plan account or Xxxxxxxxx ESA account (Cap at $30.00 /SSN) § $25.00 /transfer to successor trustee § $25.00 /participant distribution (Excluding SWPs) § $25.00 /refund of excess contribution § $25.00 /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ]/outgoing wire transfer or overnight delivery § $[ ]/telephone exchange § $[ ]/return check or ACH or stop payment § $[ ]/research request per account (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (FundX Investment Trust)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon and documented on the following services - Additional Services fee schedule: FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement a closed account shall be charged in the month following the month during which such account is closed Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule at AugustDecember 2017 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, 2014 including the following: Qualified Plan Fees § $___ per qualified plan account or Xxxxxxxxx ESA account (Cap at $___ per SSN) § $___ per transfer to successor trustee § $___ per participant distribution (Excluding SWPs) § $___ per refund of excess contribution § $___ per reconversion/recharacterization Additional Shareholder Paid Fees § $___ per outgoing wire transfer or overnight delivery § $___ per telephone exchange § $___ per return check or ACH or stop payment § $___ per research request per account (This fee applies to requests for statements older than the prior year) CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $___ per CUSIP § Expedited CUSIP Setup – $___ per CUSIP (Less than 35 days) Fund Characteristic Change § Fund Name Change – $___ per fund/ per change § Fund CUSIP Change – $___ per fund/ per change FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) - Implementation - $)___/fund _ per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) - Implementation - $___/fund _ per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) Quoted Separately § Customization - $___ /hour per year § Customization – $___ per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry - $___/event − _ per event - Account Maintenance - $___/event − _ per event - Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − _ per event - New Account Setup - Set-up – $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: - $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year _ per year § Per Record Charge - Rep/Branch/ID - $___ - Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $___ /month Vision per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund _ per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $charges-$___/image § _ per image - Archive charge (for any image stored beyond 2 years) − $years)-$ ___/document _ per document *Normal Vision ID and activity event charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Advisor’s Signature below acknowledges approval of the Transfer Agent fee schedules on this Exhibit F X. Xxxxxxxx Group Advisors, LLC By: /s/ Xx. Xxxxx Xxxxxxxxx Printed Name and Title: /s/ Xx. Xxxxx Xxxxxxxxx, Managing Partner Date: February 21, 2018 Exhibit H (continued) to the Series Portfolios Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 February 2018 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund _ per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund _ per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour 200 per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event _ per event − Account Maintenance - $___/event _ per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event _ per event − New Account Setup - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $___ per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $___ per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $_ per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $_ per year § Customization - $_ per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  _ per event Account Maintenance - $___/event  _ per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  _ per event − New Account Establishment Setup Set-up - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $_ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year _ per year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Exhibit H (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at February 2018 Vision Permits broker/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 - $___/event _ per event − Per broker ID - $___/month _ per month per ID § Transaction Processing − Implementation - $___/management _ per management company − Transaction – purchase, redeem, exchange, literature order - $___/event _ per event − New Account Setup – $___/event _ per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines. - $___/fund group Lxxx Mxxxx 3 _ per Month - Unlimited Users Exhibit F H (continued) to the Series Portfolios Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at AugustFebruary 2018 eConnect – Upon consent from shareholder caller, 2014 Vision Electronic Statements (Continued) § Load charges − forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user − per user - Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $_ per user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredbeyond 2 users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Advisor’s Signature not required at December 5, 2013 as fees are not changing – only the Semper Short Duration Fund is being added. Amended Exhibit F FF (continued) to the Advisors Series Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 December 2013 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)_____/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $_____/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $_____/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $_____/year § FAN Web Direct (API) – Quoted Separately § Customization - $_____ /hour § Activity (Session) Fees: − Inquiry - $_____/event − Account Maintenance - $_____/event − Transaction – financial transactions, reorder statements, etc. - $_____/event − New Account Setup - $_____/event (Not available with FAN Web Select) § Strong Authentication: − $_____/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $_____ § Monthly Base Fee - $_____ § Transaction Fees:  − - Inquiry - $_____/event  − - Maintenance - $_____/event  − - Transaction - $_____/event  − - New Account Establishment Setup - $_____/event 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 - $_____/year § Per Record Charge − Rep/Branch/ID - $_____ − Dealer - $_____ § Price Files - $_____/record or $_____/user per month, whichever is less Vision 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 - $_____/event − Per broker ID - $_____/month per ID § Transaction Processing − Implementation - $_____/management company − Transaction – purchase, redeem, exchange, literature order - $_____/event − New Account Setup – $_____/event − Monthly Minimum Charge - $___ ___/month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $_____/fund group Lxxx Mxxxx 3 Amended Exhibit F FF (continued) to the Advisors Series Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at August, 2014 December 2013 Vision Electronic Statements (Continued) § Load charges − $_____/image § Archive charge (for any image stored beyond 2 years) − $_____/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Advisors Series Trust (Advisors Series Trust)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon and documented on the following services - Additional Services fee schedule: FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios a closed account shall be charged in the month following the month during which such account is closed Transfer Agent Servicing Agreement Transfer Agent Agent, Shareholder & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) Annual Service Charges to the Fund* § Load charges − Base Fee per CUSIP $___/image § Archive charge (for any image stored beyond 2 years) − _ first CUSIP, $___ each additional CUSIP § Daily Accrual Fund Accounts $_/document *Normal Vision ID and activity charges also apply. __ per open account § Open Accounts $___ per open account § Closed (zero balance) Accounts $___ per closed account Annual Basis Point Fee ___ basis point on the first $___ ___ basis points on the next $___ ___ basis points on the balance Services Included in Annual Basis Point Fee § Telephone Calls § Voice Response Calls § Manual Shareholder Transaction & Correspondence § Omnibus Account Transaction § Daily Valuation/Manual 401k Trade § Report Source – Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications data. Includes set up and data delivery and security software2 user Ids. § BDS NSCC System Interface § Short-Term Trader Reporting Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up Software application used to 2 hours of programming. If beyond, additional time will track and/or assess transaction fees that are determined to be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Sourceshort-term trades. § Custom Electronic File Exchange Excessive Trader – Software application that monitors the number of trades (DDS delivery of standard TIP filesexchanges, redemptions) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon that meet fund family requirements criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. § 12b-1 Aging – Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age. Miscellaneous Expenses All other miscellaneous fees and expenses, including but not limited toto the following, will be separately billed as incurred: − Fund setup programming Telephone toll-free lines, mailing, sorting and postage, stationery, envelopes, service/data conversion, AML verification services, special reports, record retention, lost shareholder search, disaster recovery charges, ACH fees, Fed wire charges, NSCC activity charges, DST charges, shareholder/dealer print out (transfer agent systemdaily confirms, statementsinvestor confirms, optionstax, etccheck printing and writing and commissions), voice response (VRU) maintenance and development, data communication and implementation charges, specialized programming, omnibus conversions, travel, excess history, FATCA and other compliance mailings, electronic document archiving.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Exhibit F W (continued) to the Trust for Advised Portfolios Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustNovember, 2014 2016 CUSIP Setup CUSIP Setup beyond the initial CUSIP – $[…] per CUSIP Expedited CUSIP Setup – $[…] per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) Implementation - $)___/fund […] per fund group – includes up to 25 90 hours of technical/BSA support Annual Base Fee - $___/year § […] per year FAN Web Select (Fund Groups under 50,000 open accounts) Implementation - $___/fund […] per fund group – includes up to 10 45 hours of technical/BSA support Annual Base Fee - $___/year § FAN Web Direct […] per year Customization – $[…] per hour – (APIsubject to change at prevailing rates of vendor) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: Inquiry - $___/event − […] per event Account Maintenance - $___/event − […] per event Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − […] per event New Account Setup - Set-up – $___/event […] per event (Not available with FAN Web Select) § Strong Authentication: $___/month […] per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § […] per year Per Record Charge Rep/Branch/ID - $___ − […] Dealer - $___ § […] Price Files - $___/record […] per record or $___/user […] per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker […] per event - Vision ID - $___/month […] per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − […] per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − […] per event - Monthly Minimum Charge - $___ /month Vision […] per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund […] per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$[…] per image - Archive charge (for any image stored beyond 2 years) − $___/document years)-$ […] per document *Normal Vision ID and activity event charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F G (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___6,000 /year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Vision Electronic Statements (Continued) § Load charges − $__/image § Archive charge (for any image stored beyond 2 years) − $__/document *Normal Vision ID and activity charges also apply. Exhibit F G (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user - Support: $_­­__ /user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - $__/ user per month beyond 2 users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyondper file - Custom coded data for recurring, additional time will be scheduled delivery: $___ / per hour consultation and development.) − programming development - Support: $___ /file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___one-time fee - Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F Programming Charges- (continuedsubject to change at prevailing rate of vendor) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit G (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $v /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $__setup /fund group § $__/month administration § $__/received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $__/fund group per month Literature Fulfillment Services* § Account Management − $__/month § Inbound Teleservicing Only − Account Management - $__ /month − Call Servicing - $__/minute § Lead Source Reporting − $vmonth § Closed Loop Reporting − Account Management - $__ /month − Database Installation, Setup - $__/fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $__ /monthly report Exhibit G (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (continued) at August, 2014 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $__/qualified plan account or Cxxxxxxxx ESA account (Cap at $__/SSN) § $__ /transfer to successor trustee § $__ /participant distribution (Excluding SWPs) § $__/refund of excess contribution § $__/reconversion/recharacterization Additional Shareholder Paid Fees § $__/outgoing wire transfer or overnight delivery § $__/telephone exchange § $__/return check or ACH or stop payment § $__/research request per account (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services E-Commerce Services Fee Schedule at AugustAugust 31, 2014 2015 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___36,000 /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour 200 /hour- (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___0.15 /event − Account Maintenance - $___0.25 /event − Transaction – financial transactions, reorder statements, etc. - $___0.50 /event − New Account Setup - $___3.00 /event (Not available with FAN Web Select) § Strong Authentication: − $___0.045 /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___6,000 /year § Per Record Charge − Rep/Branch/ID - $___ .018 − Dealer - $___ 0.012 § Price Files - $___0.002 /record or $___1.75 /user per month, whichever is less Vision 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 − $___5,000 /fund group Lxxx Mxxxx 3 Vision Electronic Statements § 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 F E (continuedContinued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at AugustAugust 31, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. 2015 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ 250 /user - Support: $___ 100 /user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - $200/ user per month beyond 2 users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyond300 per file - Custom coded data for recurring, additional time will be scheduled delivery: $___ / 165 per hour consultation and development.) − programming development - Support: $___ 100 /file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___2,500 one-time fee - Support: $___ 100 /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___1,500 implementation − $___ 500 /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ 500 implementation − $___ 200 /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___2,500 implementation − $___ 350 /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___1,000 implementation − $___ 200 /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___13,500 implementation − $___ 400 /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___1,500 implementation − $___ 200 /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___3,000 /month Lxxx Mxxxx 4 Exhibit F Programming Charges- (continuedsubject to change at prevailing rate of vendor) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ 200 /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit E (continued) to the Transfer Agent & Shareholder Services Supplemental Services Servicing Agreement – Fee Schedule at AugustAugust 31, 2014 2015 Transfer Agent Training Services § On-site at USBFS - $___1,500 /day § At Client Location - $___2,500 /day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Eagle Series Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)FundSource, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Amended Exhibit F E (continued) to the Trust for Advised Portfolios Amended and Restated Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services – The Merger Fund Supplemental Services – E-Commerce Services Fee Schedule at Augusteffective January 1, 2014 2017 CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $__ per CUSIP § Expedited CUSIP Setup – $__ per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 ___ open accounts) - Implementation - $)___/fund _ per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 ___ open accounts) - Implementation - $___/fund _ per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately _ per year § Customization - $___ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry - $___/event − _ per event - Account Maintenance - $___/event − _ per event - Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − _ per event - New Account Setup - Set-up – $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: - $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year _ per year § Per Record Charge - Rep/Branch/ID - $___ - Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $__ per month § Electronic Statements* - Implementation- $__ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $per fund group - Load charges-$___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § _ per image - Archive charge (for any image stored beyond 2 years) − $years)-$___/document _ per document *Normal Vision ID and activity event charges also apply. FundSource Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required_ per Month – Unlimited Users

Appears in 1 contract

Samples: Transfer Agent Agreement (Merger Fund)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Amended Exhibit F B (continued) to the Trust for Advised Portfolios - Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule Fees at AugustJanuary, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 __open accounts) − Implementation - $)___/fund group – includes up to 25 __hours of technical/BSA support − Annual Base Fee - $___000 /year § FAN Web Select (Fund Groups under 50,000 __open accounts) − Implementation - $___/fund group – includes up to 10 __hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − - Inquiry - $___v /event  − - Maintenance - $___/event  − - Transaction - $___/event  − - New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Amended Exhibit F B (continued) to the Trust for Advised Portfolios - Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) Fees at AugustJanuary, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user - Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) - Support: $___ /file per month - Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___one-time fee - Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Amended Exhibit B (continued) to the Trust for Advised Portfolios - Transfer Agent & Shareholder Services Servicing Agreement Supplemental Services Fee Schedule Fees at AugustJanuary, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required2014

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F P (continued) to the Trust for Advised Portfolios Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 2013 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 […] open accounts) − Implementation - $)___[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___[…] /year § FAN Web Select (Fund Groups under 50,000 […] open accounts) − Implementation - $___[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ […] /hour § Activity (Session) Fees: − Inquiry - $___[…] /event − Account Maintenance - $___[…] /event − Transaction – financial transactions, reorder statements, etc. - $___[…] /event − New Account Setup - $___[…] /event (Not available with FAN Web Select) § Strong Authentication: − $___[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ […] § Monthly Base Fee - $___ […] § Transaction Fees:  − - Inquiry - $___[…] /event  − - Maintenance - $___[…] /event  − - Transaction - $___[…] /event  − - New Account Establishment Setup - $___[…] /event 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 - $___[…] /year § Per Record Charge − Rep/Branch/ID - $___ […] − Dealer - $___ […] § Price Files - $___[…] /record or $___[…] /user per month, whichever is less Vision 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 - $___[…] /event − Per broker ID - $___[…] /month per ID § Transaction Processing − Implementation - $___[…] /management company − Transaction – purchase, redeem, exchange, literature order - $___[…] /event − New Account Setup – $___[…] /event − Monthly Minimum Charge - $___ […] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___[…] /fund group Lxxx Mxxxx 3 Exhibit F P (continued) to the Trust for Advised Portfolios Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 2013 Vision Electronic Statements (Continued) § Load charges − $___[…] /image § Archive charge (for any image stored beyond 2 years) − $___[…] /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ […] /user - Support: $___ […] /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $___ […] /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ […] / hour consultation and development.) - Support: $___ […] /file per month - Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___[…] one-time fee - Support: $___ […] /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___[…] implementation − $___ […] /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ […] implementation − $___ […] /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___[…] implementation − $___ […] /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___[…] implementation − $___ […] /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___[…] implementation − $___ […] /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___[…] implementation − $___ […] /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___[…] /month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ […] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit P (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Supplemental Services Fee Schedule at August, 2014 Schedules Transfer Agent Training Services § On-site at USBFS - $___[…] /day § At Client Location - $___[…] /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup /fund group § $[…] /month administration § $[…] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[…] /fund group per month Literature Fulfillment Services* § Account Management − $[…] /month § Inbound Teleservicing Only − Account Management - $[…] /month − Call Servicing - $[…] /minute § Lead Conversion Reporting − $[…] /month § Closed Loop Reporting − Account Management - $[…] /month − Database Installation, Setup - $[…] /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $[…] /monthly report Exhibit P (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Supplemental Services Fee Schedules FAF Money Market Fund Service Organizations § $[…] /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[…] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[…] /SSN) § $[…] /transfer to successor trustee § $[…] /participant distribution (Excluding SWPs) § $[…] /refund of excess contribution § $[…] /reconversion/recharacterization Additional Shareholder Paid Fees § $[…] /outgoing wire transfer or overnight delivery § $[…] /telephone exchange § $[…] /return check or ACH or stop payment § $[…] /research request per account (Cap at $[…] /request) (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. *Subject In addition to annual CPI increasethe fees described above, Milwaukee MSAadditional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Tortoise Capital Advisors, L.L.C. By: /s/ P. Xxxxxxx Xxxxx Printed Name: P. Xxxxxxx Xxxxx Title: Managing Director Date: 8/8/2019 Amended Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent – Managed Portfolio Series TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - FEE SCHEDULE at October, 2019 - Tortoise Charges Paid by Investors Shareholder Services Supplemental Services accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees ◾ $[…] per qualified plan account or Xxxxxxxxx ESA account (Cap at $[…] per SSN) ◾ $[…] per transfer to successor trustee ◾ $[…] per participant distribution (Excluding SWPs) ◾ $[…] per refund of excess contribution ◾ $[…] per reconversion/recharacterization Additional Shareholder Paid Fees ◾ $[…] per outgoing wire transfer or overnight delivery ◾ $[…] per telephone exchange ◾ $[…] per return check or ACH or stop payment ◾ $[…] per statement year requested per account (This fee applies to research requests for statements older than the prior year) CUSIP Setup ◾ CUSIP Setup beyond the initial CUSIP E-Commerce Services Fee Schedule at August, 2014 FAN Web $[…] per CUSIP ◾ Expedited CUSIP Setup – $[…] per CUSIP (Less than 35 days) Waived for Advisory Research MLP & Energy Infrastructure Fund and Advisory Research MLP & Energy Income Fund Fund Characteristic Change ◾ Fund Name Change – $[…] per fund/ per change ◾ Fund CUSIP Change – $[…] per fund/ per change Digital Investor Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, and perform account maintenance activities. Electronic document delivery is also available as an adjunct service. Digital Investor includes user interface which caters to a full range of connected devices, including tablets and smart phones. The standard implementation comes with advanced authentication, eCommerce inspired workflows, and a base package of transaction history, purchase additional shares through ACH, etcand maintenance functionality. § FAN Web Premium (Fund Groups over 50,000 open accounts) ◾ Digital Investor − Implementation - $)___/fund […] per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § […] per year Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request. ◾ Activity (Session) Fees: − Inquiry - $___/event […] per event − Login Challenge – $[…] per event − Account Maintenance - $___/event […] per event − Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event […] per event − New Account Setup - Set-up – $___/event (Not available with FAN Web Select) § Strong Authentication: […] per event Bank Verification Attempt – $___/month […] per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event event 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 - $___/year § […] per year ◾ Per Record Charge - Rep/Branch/ID – $[…] - Dealer – $___ − Dealer - $___ § […] ◾ Price Files - $___/record […] per record or $___/user […] per user per month, whichever is less Amended Exhibit D (continued) to the Transfer Agent Servicing Agreement – Managed Portfolio Series Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − ◾ Account inquiry - Inquiry - $___/event − Per broker […] per event - Vision ID - $___/month […] per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − […] per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − […] per event - Monthly Minimum Charge - $___ /month Vision […] per month ◾ Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund […] per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$[…] per image - Archive charge (for any image stored beyond 2 years) − $___/document years)-$ […] per document *Normal Vision ID and activity event charges also apply. Fund Source Client Access to audited fund information, pricing, performance, literature, processing guidelines. - $[…] per Month – Unlimited Users Electronic Correspondence Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. ◾ $[…] per Email Client Web Data Access USBFS U.S. Bank client on-line access to fund and investor data through USBFS U.S. Bank technology applications and data delivery and security software. § BDS ◾ STAT – Statement and Tax Form Storage & Retrieval - Setup: $___ /user − […] per user - Support: $___ /user […] per user per month ◾ ReportSource – Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[…] per user per month Additional Data Delivery Services § Ad Hoc/ Hoc/PowerSelect File Development − Setup- Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyond[…] per file - Custom coded data for recurring, additional time will be scheduled delivery: $___ / […] per hour consultation and development.) − programming development - Support: $___ /file […] per file per month − Files can be for recurring files/reports scheduled for delivery via Report Source. § - Recurring files scheduled for delivery via Report Source. ◾ Custom Electronic File Exchange (DDS MFS delivery of standard TIP files) - Setup: $___[…] one-time fee - Support: $___ /file […] per file per month ◾ File Delivery to Alternate Sales Reporting Provider - Setup: $[…] one-time fee - Maintenance Fee: $[…] per file per month Chat Services ◾ Implementation Fee – $[…] ◾ Monthly Fee – $[…] per month ◾ Per Chat Fee – $[…] per chat or $[…] per minute of chat Outbound Calling & Marketing Campaigns ◾ Cost based on project requirements including hours, data sourcing and reporting. Amended Exhibit D (continued) to Transfer Agent Servicing Agreement – Managed Portfolio Series Electronic Form Delivery and Signature Capture ◾ Implementation fee – $[…] (includes 15 forms) ◾ Additional setup fee – $[…] for each additional form and email template ◾ Form and fund logo modifications – $[…] per form, $[…] per updated Fund Logo ◾ Monthly minimum fee – $[…] per month ◾ Per electronic envelope Fee – $[…] Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers - $___[…] implementation - $___ /month § […] per month ◾ Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers - Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. - $___ […] implementation - $___ /ID […] per ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $___[…] implementation - $___ /ID […] per ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. - $___[…] implementation - $___ /ID […] per ID per month § Automated Work Distributor (AWD) – Image and workflow application. - $___[…] implementation - $___ /ID […] per ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. - $___[…] implementation - $___ /ID […] per ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. - $___/month Lxxx Mxxxx 4 Exhibit F […] per month Programming Services ◾ $[…] per hour (continuedsubject to change) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling Cost Basis Reporting Annual reporting of shareholder cost basis for non-fiduciary direct accounts. ◾ $[…] per direct open account per year Email Services Services to capture, queue, monitor, service and archive shareholder email correspondence: ◾ $[…] setup per fund group ◾ $[…] per month administration ◾ $[…] per received email correspondence Amended Exhibit D (continued) to the Transfer Agent Servicing Agreement – Managed Portfolio Series Dealer Reclaim Services Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. ◾ $[…] per fund group per month CTI Reporting Integrated custom detailed call reporting – $[…] per monthly report Literature Fulfillment Services ◾ Account Management/Database Administration - $[…] per month - Receiving – $[…] per SKU - Order Processing – $[…] per order - Skid Storage – $[…] per month per location - Disposal – $[…] per SKU ◾ Inbound Teleservicing Only - Account Management – $[…] per month (OR) - Call Servicing – $[…] per call ◾ Lead Source Reporting - $[…] per month ◾ Closed Loop Reporting - Account Management – $[…] per month - Database Installation, Setup – $[…] per fund group ◾ Miscellaneous Expenses - Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. Shareholder Call Review Analysis Includes Call Sampling sent securely to client and Reporting of internal representative reviews. ◾ $[…] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site ◾ Initial data population: $[…] for less than 25 CUSIPS / $[…] for 25 CUSIPS or more ◾ Monthly maintenance: $[…] per management company ◾ Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[…]/hour Dealer Survey Completion Dealer fund survey requests – $[…] per hour for completion and quality validation Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family: ◾ $[…] setup per fund group ◾ $[…] per certificate transaction Fund Event* Services ◾ Programming & Marketing Campaigns File Delivery $[…]/hour ◾ Project Management/Analysis – $[…]/hour ◾ Account Data Retention – $[…]/account/month until purged* ◾ CUSIP Data Retention – $[…]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent)*FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Waived for reorganization of Advisory Research MLP & Energy Infrastructure Fund and Advisory Research MLP & Energy Income Fund into U.S. Bank. Amended Exhibit D (continued) to the Transfer Agent Servicing Agreement – Managed Portfolio Series MARS Sales Reporting & Compliance Services Standard MARS Version 8i Implementation Cost ◾ $[…] – $[…] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) Standard MARS Version 8i Products & Services (Monthly fees) ◾ $[…] – $[…] MARS Sales & Compliance Reporting (Includes 5 Sales & 5 Compliance Users) ◾ $[…] – $[…] MARS Sales Reporting (Includes 5 Sales Users) ◾ $[…] – $[…] MARS 22c-2 Compliance (Includes 5 Compliance Users) ◾ $[…] – $[…] – Enhanced Services* Includes up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. Standard Version 8i System Setup & Implementation Costs (One-time fee) ◾ $[…] – XxxxxXxxxx.xxx Integration ◾ $[…] – Custom Data Interface ◾ $[…] – OmniSERV Setup ◾ $[…] – Standard Interface ◾ $[…] – Additional OmniSERV Interface Standard Version 8i Licenses (Monthly Fee Per User) ◾ $[…] – Sales Reporting ◾ $[…] – 22c-2 Compliance ◾ $[…] – CRM ◾ $[…] – SFDC Standard Version 8i Products & Services (Monthly Fee) ◾ $[…] – OmniSERV ◾ $[…] – Daily Transaction Load from Sales Portal ◾ $[…] – Monthly Asset Load from Sales Portal ◾ $[…] – XxxxxXxxxx.xxx Additional Version 8i Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size ◾ $[…] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on project requirementsAUM) ◾ $[…]/month (AUM $[…] – $[…]) ◾ $[…] (AUM $[…] – $[…]) ◾ $[…]/month (AUM $[…] – $[…]) ◾ $[…]/month (AUM $[…] – $[…]) Once an AUM of $[…] has been reached, additional fees will be negotiated. Transfer Agent After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests and business requirements analysis. Base includes initial three dealer interfaces. Each additional interface is $[…] per month. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[…] per month. No CRM real-time integration. No system access. Additional MARS Lite System Setup & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Implementation Costs (One-time fee) ◾ $[…] – Custom Data Interface ◾ $[…] – Standard Interface ◾ $[…] – OmniSERV Interface Any System Upgrades & Enhancements (Quoted separately through a Statement of Work) MARS Training Services § On-site at USBFS - $___/day § At Client Location - $___[…] /day plus travel and out-of-pocket expenses if requiredexpenses. ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. Amended Exhibit D (continued) to the Transfer Agent Servicing Agreement – Managed Portfolio Series

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web sales reporting data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reportingwarehouse, investor email services, dealer reclaim e-mail services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI lead conversion reporting, sales reporting & 22c-2 reporting (MARS)12b-1 aging, electronic statements (Informa)Same Day Cash Flow System, marketing and fulfillment solution (eCONNECT)Short-Term Trader reporting, Jumbo Pricing, and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSADaily Valuation/Manual 401K Trade. Fees are calculated pro rata and billed monthly. monthly Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent DoubleLine Equity Funds TRANSFER AGENT & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule SHAREHOLDER SERVICES FEE SCHEDULE at AugustMarch, 2014 2013 FAN Web WEB Shareholder internet access to account information and transaction capabilities through a hyperlink transparent link at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ 165 /hour § Activity (Session) Fees: Inquiry - $___0.15 /event Account Maintenance - $___0.25 /event Transaction – financial transactions, reorder statements, etc. - $___0.50 /event New Account Setup - Set-up – $___3.00 /event (Not available with FAN Web Select) § Strong Authentication: $___0.045 /month per active active* FAN Web ID (* Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 – may contain multiple fund/accounts - $___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 − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access CLIENT DEDICATED LINE DATA ACCESS For USBFS client clients requiring continuous on-line access to fund USBFS shareholder accounting systems, such as for client call center support: • $7,000 /year per workstation for TA2000 AWD access • Plus data communications setup and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending monthly charges based upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) • Plus training billed at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day hourly rates plus travel and out-of-pocket expenses if requiredExhibit E (continued) to the Transfer Agent Servicing Agreement DoubleLine Equity Funds TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE AT March, 2013 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. • 90 days or less – $0.08 /open account • 91-180 days – $0.14 /open account • 181-270 days – $0.20 /open account • 271 days – 1 year - $0.26 /open account • 1 year – 2 years - $0.38 /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. • $1.00 /direct open account per year 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. • $500 setup /fund group of 1-5 funds, $1,500 setup /fund group of over 5 funds • $0.12 /account per year 12b-1 Distribution Fee Aging – Aging shareholder account share lots in order to monitor and begin assessing 12b-l fees after a certain share lot age will be charged at $1.50 per open account per year.

Appears in 1 contract

Samples: Form of Transfer Agent Servicing Agreement (DoubleLine Equity Funds)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F K (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement — The RBB Fund, Inc. — Transfer Agent & and Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule fees at AugustJune 30, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § · FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) · Implementation - $)___/fund [ ] per fund group includes up to 25 [ ] hours of technical/BSA support · Annual Base Fee - $___/year § [ per year · FAN Web Select (Fund Groups under 50,000 [ ] open accounts) · Implementation - $___/fund [ ] per fund group includes up to 10 [ ] hours of technical/BSA support · Annual Base Fee - $___/year § [ ] per year · FAN Web Direct (API) Quoted Separately § · Customization - $___ /hour § [ ] per hour — (subject to change at prevailing rates of vendor) · Activity (Session) Fees: · Inquiry - $___/event − [ ] per event · Account Maintenance - $___/event − [ ] per event · Transaction – financial — Financial transactions, reorder statements, etc. - $___/event − [ ] per event · New Account Setup - $___/event [ ] per event (Not available with FAN Web Select) § · Strong Authentication: · $___/month [ ] per month per active FAN Web ID (Any ID that has had activity within the 180-day [ ] -day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial · FAN Web Premium (Fund Groups over [ ] open accounts) · Implementation Site Setup Fee - $___ § Monthly [ ] per fund group — includes up to [ ] hours of technical/BSA support · Annual Base Fee - $___ § Transaction [ ] per year · FAN Web Select (Fund Groups under [ ] open accounts) · Implementation — $[ ] per fund group — includes up to [ ] hours of technical/BSA support · Annual Base Fee - $[ ] per year · Customization - $[ ] per hour - (subject to change at prevailing rates of vendor) · Activity (Session) Fees:  − · Inquiry - $___/event  − [ ] per event · Account Maintenance - $___/event  − [ ] per event · Transaction — financial transactions, duplicate statement requests, etc. - $___/event  − [ ] per event · New Account Establishment Setup Set-up - $___/event [ ] per event (Not available with FAN Web Select) · Strong Authentication: · $[ ] per month per active FAN Web ID (Any ID that has had activity within the [ ] -day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § · Base Fee Per Management Company file generation and delivery - $___/year § [ ] per year · Per Record Charge · Rep/Branch/ID - $___ − [ ] · Dealer - $___ § [ ] · Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Vision Permits broker/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 - $___/event − [ ] per event · Per broker ID - $___/month [ ] per [ ] per ID § · Transaction Processing · Implementation - $___/management [ ] per management company · Transaction purchase, redeem, exchange, literature order - $___/event − [ ] per event · New Account Setup $___/event − [ ] per event · Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries [ ] per month Fund Source — Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines. · $___/fund group Lxxx Mxxxx 3 [ ] per Month - Unlimited Users Exhibit F K (continuedContinued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – EAgreement-Commerce Services Fee Schedule (continued) The RBB Fund, Inc. at AugustJune 30, 2014 Vision Electronic Statements (Continued) § Load charges − 2016 eConnect — Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. · $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. [ ] per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § · BDS Statement Storage & Retrieval · Setup: $___ /user − [ ] per user · Support: $___ /user [ ] per month Additional user per[ ] · ReportSource — Report and Data Delivery Services § Ad Hoc/ PowerSelect File Development − Storage & Retrieval · Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Included in initial fund setup on Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § system · $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required[ ] per user per [ ] beyond [ ] users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (RBB Fund, Inc.)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)FundSource, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Amended Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustJanuary 1, 2014 2018 CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $__ per CUSIP § Expedited CUSIP Setup – $__ per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 __ open accounts) - Implementation - $)___/fund _ per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 __ open accounts) - Implementation - $___/fund _ per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately _ per year § Customization - $___ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry - $___/event − _ per event - Account Maintenance - $___/event − _ per event - Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − _ per event - New Account Setup - Set-up – $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: - $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day __ -day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year _ per year § Per Record Charge - Rep/Branch/ID - $___ - Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $__ per month § Electronic Statements* - Implementation- $__ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $per fund group - Load charges-$___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § _ per image - Archive charge (for any image stored beyond 2 years) − $__ years)-$ __/document _ per document *Normal Vision ID and activity event charges also apply. FundSource Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required_ per Month – Unlimited Users

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Westchester Capital Funds)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement a closed account shall be charged in the month following the month during which such account is closed. Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees ▪ $[ ] per qualified plan account or Xxxxxxxxx ESA account (Cap at August, 2014 FAN Web $30.00 per SSN) § $[ ] per transfer to successor trustee § $[ ] per participant distribution (Excluding SWPs) § $[ ] per refund of excess contribution § $[ ] per reconversion/recharacterization Additional Shareholder internet Paid Fees § $[ ] per outgoing wire transfer or overnight delivery § $[ ] per telephone exchange § $[ ] per return check or ACH or stop payment § $[ ] per research request per account (This fee applies to requests for statements older than the prior year) CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $[ ] per CUSIP § Expedited CUSIP Setup – $[ ] per CUSIP (Less than 35 days) Fund Characteristic Change § Fund Name Change – $[ ] per fund/ per change § Fund CUSIP Change – $[ ] per fund/ per change Digital Investor Shareholder account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing conduct financial transactions, and perform account maintenance activities. Electronic document delivery is also available as an adjunct service. Digital Investor includes user interface which caters to a full range of connected devices, including tablets and smart phones. The standard implementation comes with advanced authentication, eCommerce inspired workflows, and a base package of transaction and maintenance functionality. ▪ Digital Investor • Implementation – $[ ] per fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § [ ] per year Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request. ▪ Activity (Session) Fees: Inquiry - $___/event − [ ] per event • Login Challenge – $[ ] per event • Account Maintenance - $___/event − [ ] per event • Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − [ ] per event • New Account Setup - Set-up – $___/event (Not available with FAN Web Select) § Strong Authentication: − [ ] per event • Bank Verification Attempt – $___/month [ ] per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event event 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 - $___/year [ ] per year § Per Record Charge Rep/Branch/ID – $[ ] - Dealer – $___ − Dealer - $___ [ ] § Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Exhibit J (continued) - Manager Directed Portfolios Transfer Agent Servicing Agreement Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker [ ] per event - Vision ID - $___/month [ ] per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − [ ] per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − [ ] per event - Monthly Minimum Charge - $___ /month Vision [ ] per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund [ ] per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$[ ] per image - Archive charge (for any image stored beyond 2 years) − $___/document years)-$[ ] per document *Normal Vision ID and activity event charges also apply. Fund Source Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required[ ] per Month – Unlimited Users

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustFebruary, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)­­____ /fund group – includes up to 25 ­­__ hours of technical/BSA support − Annual Base Fee - $­­____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $­­____ /fund group – includes up to 10 ­­__ hours of technical/BSA support − Annual Base Fee - $­­____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $_­­__ /hour § Activity (Session) Fees: − Inquiry - $­­____ /event − Account Maintenance - $­­____ /event − Transaction – financial transactions, reorder statements, etc. - $­­____ /event − New Account Setup - $­­____ /event (Not available with FAN Web Select) § Strong Authentication: − $­­____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $_­­__ § Monthly Base Fee - $_­­__ § Transaction Fees:  − - Inquiry - $­­____ /event  − - Maintenance - $­­____ /event  − - Transaction - $­­____ /event  − - New Account Establishment Setup - $­­____ /event 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 - $­­____ /year § Per Record Charge − Rep/Branch/ID - $_­­__ − Dealer - $_­­__ § Price Files - $­­____ /record or $­­____ /user per month, whichever is less Vision 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 - $­­____ /event − Per broker ID - $­­____ /month per ID § Transaction Processing − Implementation - $­­____ /management company − Transaction – purchase, redeem, exchange, literature order - $­­____ /event − New Account Setup – $­­____ /event − Monthly Minimum Charge - $_­­__ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $­­____ /fund group Lxxx Mxxxx 3 Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Services– E-Commerce Services Fee Schedule (continuedContinued) at AugustFebruary, 2014 Vision Electronic Statements (Continued) § Load charges − $­­____ /image § Archive charge (for any image stored beyond 2 years) − $­­____ /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $_­­__ /user - Support: $_­­__ 0 /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $_­­__ /request (Includes up to 2 hours of programming. If beyond, additional time will be $_­­__ / hour consultation and development.) - Support: $_­­__ /file per month - Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $­­____ one-time fee - Support: $_­­__ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $­­____ implementation − $_­­__ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $_­­__ implementation − $_­­__ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $­­____ implementation − $_­­__ 0 /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $­­____ implementation − $_­­__ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $­­____ implementation − $_­­__ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $­­____ implementation − $_­­__ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $­­__ /month Programming Charges § $­­__/month Lxxx Mxxxx _ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. AMI 4 Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at AugustFebruary, 2014 Transfer Agent Training Services § On-site at USBFS - $­­____ /day § At Client Location - $­­____ /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $­­__ /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $­­__ setup /fund group § $­­__ /month administration § $­­__ /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $­­__ /fund group per month Literature Fulfillment Services* § Account Management − $­­__ /month § Inbound Teleservicing Only − Account Management - $­­__ /month − Call Servicing - $­­__ /minute § Lead Conversion Reporting − $­­__ /month § Closed Loop Reporting − Account Management - $­­__ /month − Database Installation, Setup - $­­__ /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $­­__ /monthly report Exhibit C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at February, 2014 FAF Money Market Fund Service Organizations § $­­__ /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $­­__ /qualified plan account or Cxxxxxxxx ESA account (Cap at $­­__ /SSN) § $­­__ /transfer to successor trustee § $­­__ /participant distribution (Excluding SWPs) § $­­__ /refund of excess contribution § $­­__ /reconversion/recharacterization Additional Shareholder Paid Fees § $­­__ /outgoing wire transfer or overnight delivery § $­­__ /telephone exchange § $­­__ /return check or ACH or stop payment § $­­__ /research request per account (Cap at $25.00 /request) (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Boston Common The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Boston Common Amended Exhibit F W (continued) to the Trust for Advised Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce - Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees • $[ ]per qualified plan accountor Xxxxxxxxx ESA account (Cap at August, 2014 FAN Web $[ ] per SSN) • $[ ]per transfer to successor trustee • $[ ]per participant distribution (Excluding SWPs) • $[ ]per refund of excess contribution • $[ ] per reconversion/recharacterization Additional Shareholder internet access Paid Fees • $[ ] per outgoing wire transfer or overnight delivery • $[ ] per telephone exchange • $[ ] per return check or ACH or stop payment • $[ ] per statement year requested per account (This fee applies to account information and transaction capabilities research requests for statements older than the prior year) CUSIP Setup • CUSIP Setup beyond the initial CUSIP – $[ ] per CUSIP • Expedited CUSIP Setup – $[ ] per CUSIP (Less than [ ] days) Fund Characteristic Change • Fund Name Change – $[ ] per fund/ per change • Fund CUSIP Change – $[ ] per fund/ per change Digital Investor Shareholder accountaccess through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing conduct financial transactions, and perform account maintenance activities. Electronic document delivery is also available as an adjunct service. Digital Investor includes user interface which caters to a full range of connected devices, including tablets and smart phones. The standard implementation comes with advanced authentication, eCommerce inspired workflows, and a base package of transaction and maintenance functionality. • Digital Investor – Implementation – $[ ] per fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § [ ] per year Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request. • Activity (Session) Fees: Inquiry - $___/event − [ ]per event – Login Challenge – $[ ] per event – Account Maintenance - $___/event − [ ] per event – Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − [ ] per event – New Account Setup - Set-up – $___/event [ ] per event – Bank Verification Attempt – $[ ] per event Boston Common Amended Exhibit W (Not available with FAN Web Selectcontinued) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Additional Services Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event Schedule 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 - $___/year § [ ] per year • Per Record Charge - Rep/Branch/ID – $.[ ] - Dealer – $___ − Dealer - $___ § [ ] • Price Files - $___/record [ ]per record or $___/user [ ] per user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Boston Common Amended Exhibit F W (continued) to the Trust for Advised Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce - Additional Services Fee Schedule (continuedContinued) at August, 2014 Vision Electronic Statements (Continued) § Statement Services Online account access for broker/dealers, financial planners, and RIAs. • Account inquiry – Inquiry - $[ ] per event – Vision ID - $[ ]per month per ID • Transaction Processing* – Implementation Fee - $[ ] per Management Company – Transaction – purchase, redeem, and exchange - $[ ] per event – Monthly Minimum Charge - $[ ] per month • Electronic Statements* – Implementation- $[ ] per fund group – Load charges − $___/image § charges-$[ ] per image – Archive charge (for any image stored beyond 2 years) − $___/document [ ] years)-$[ ] per document *Normal Vision ID and activity event charges also apply. Fund Source Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user [ ] per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN Month Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredUnlimited Users

Appears in 1 contract

Samples: Professionally Managed Portfolios

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Amended Exhibit F Q (continued) to the Trust for Advised Portfolios Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustNovember, 2014 2013 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ […] /hour § Activity (Session) Fees: − Inquiry - $___[…] /event − Account Maintenance - $___[…] /event − Transaction – financial transactions, reorder statements, etc. - $___[…] /event − New Account Setup - $___[…] /event (Not available with FAN Web Select) § Strong Authentication: − $___[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ […] § Monthly Base Fee - $___ […] § Transaction Fees:  − - Inquiry - $___[…] /event  − - Maintenance - $___[…] /event  − - Transaction - $___[…] /event  − - New Account Establishment Setup - $___[…] /event 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 - $___[…] /year § Per Record Charge − Rep/Branch/ID - $___ […] − Dealer - $___ […] § Price Files - $___[…] /record or $___[…] /user per month, whichever is less Vision 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 - $___[…] /event − Per broker ID - $___[…] /month per ID § Transaction Processing − Implementation - $___[…] /management company − Transaction – purchase, redeem, exchange, literature order - $___[…] /event − New Account Setup – $___[…] /event − Monthly Minimum Charge - $___ […] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees $___[…] /fund group Lxxx Mxxxx 3 Amended Exhibit F Q (continued) to the Trust for Advised Portfolios Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services (continued) – E-Commerce Services Fee Schedule (continued) at AugustNovember, 2014 2013 Vision Electronic Statements (Continued) § Load charges − $___[…] /image § Archive charge (for any image stored beyond 2 years) − $___[…] /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ […] /user - Support: $___ […] /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $___ […] /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ […] / hour consultation and development.) - Support: $___ […] /file per month - Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___[…] one-time fee - Support: $___ […] /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___[…] implementation − $___ […] /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ […] implementation − $___ […] /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___[…] implementation − $___ […] /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___[…] implementation − $___ […] /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___[…] implementation − $___ […] /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___[…] implementation − $___ […] /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___[…] /month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ […] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. requirements Amended Exhibit Q (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Supplemental Services Fee Schedule Schedules at AugustNovember, 2014 2013 Transfer Agent Training Services § On-site at USBFS - $___[…] /day § At Client Location - $___[…] /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[…] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[…] setup /fund group § $[…] /month administration § $[…] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[…] /fund group per month Literature Fulfillment Services* § Account Management − $[…] /month § Inbound Teleservicing Only − Account Management - $[…] /month − Call Servicing - $[…] /minute § Lead Conversion Reporting − $[…] /month § Closed Loop Reporting − Account Management - $[…] /month − Database Installation, Setup - $[…] /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $[…] /monthly report FAF Money Market Fund Service Organizations § $[…] /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[…] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[…] /SSN) § $[…] /transfer to successor trustee § $[…] /participant distribution (Excluding SWPs) § $[…] /refund of excess contribution § $[…] /reconversion/recharacterization Additional Shareholder Paid Fees § $[…] /outgoing wire transfer or overnight delivery § $[…] /telephone exchange § $[…] /return check or ACH or stop payment § $[…] /research request per account (Cap at $[…] /request) (This fee applies to requests for statements older than the prior year) Amended Exhibit Q (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services - Supplemental Services Fee Schedules (continued) at November, 2013

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN -FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application client dedicated line data access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, Excessive Trader, 12b-1 aging, investor email services, dealer reclaim services, shareholder performance statements, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Same Day Cash Management, Real Time Cash Flow, expedited CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (via MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. Amended Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICESSUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule at AugustCOMMERCE SERVICES FEE SCHEDULE effective July 1, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 2015 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 - $___[ ] /year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___[ ] /record or $___[ ] /user per month, whichever is less 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 - $___[ ] /event − Per broker ID - $___[ ] /month per ID § Transaction Processing (Minimum Monthly charge - $[ ]) − Implementation - $___[ ] /management company − Transaction – purchase, redeem, exchange, literature order - $___[ ] /event − New Account Setup – $___[ ] /event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − Develop eBusiness Solutions Software - $___[ ] /fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) − Code Print Software - $[ ] /fund group § Load charges − $___[ ] /image § Archive charge (for any image stored beyond 2 years) − $___[ ] /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § Report Source - Setup: $[ ] (Includes access to Fund Source) - Service: $[ ] /user per month § BDS – Statement Storage & Retrieval - Setup: $___ [ ] /user − Support- Service: $___ [ ] /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $___ [ ] /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ [ ] / hour consultation and development.) − Support- Service: $___ [ ] /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: - $___one-[ ]one time setup fee − Support: - $___ [ ]/file per month Recordkeeping Application Access maintenance fee § Internet VPN – Infrastructure Mail File (DDS mailbox in which clients can pull information): $[ ]/file setup § TIP File Setup - Setup & Delivery of Standard TIP Files: $[ ]/request (Unlimited files per request) - Custom TIP File Development: $[ ]/request (Includes up to allow for application accessibility to host systems [ ] hours of programming. If beyond, additional time will be $[ ]/hour consultation and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screendevelopment.) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface Amended Exhibit D to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule (continued) at AugustCOMMERCE SERVICES FEE SCHEDULE effective July 1, 2014 2015 Programming Charges § $___ [ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − - Conversion programming − Customized service development − - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts based upon an average cost single category basis calculation. § $[ ] /direct open account per year 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 per year 12b-1 Distribution Fee Aging – Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age will be charged at $[ ] per open account per year. Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] setup /fund group § $[ ] /month administration § $[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $1[ ] /fund group per month Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. § Setup - $[ ]/fund group § Annual Fee - $[ ] /open and closed account Literature Fulfillment Services* § Account Management − $[ ] /month (account management, lead reporting and database administration) § Out-of-Pocket Expenses − Included but not limited to kit and order processing expenses, postage, and printing. § Inbound Teleservicing Only − Account Management - $[ ] /month − Call Servicing - $[ ] /minute § Lead Conversion Reporting (Closed Loop) − Account Management - $[ ] /month − Database Installation, Setup - $[ ] /fund group − Specialized Programming - (Separate Quote)* *Fees exclude postage and printing charges. Amended Exhibit D to the TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE effective July 1, 2015 Money Market Fund Service Organizations § $[ ]/money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ]/qualified plan account or Cxxxxxxxx ESA account ([ ]) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account ([ ]) (This fee applies to requests for statements older than the prior year) Physical Certificate Processing – Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup/fund group § $[ ] /certificate transaction Same Day Cash Management § Setup: $[ ] (Access via Internet VPN) § Service: $[ ] /user per month Real Time Cash Flow § Implementation (one time charge) & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Recurring Charges (monthly) - [ ] Users – $[ ] § Training Services § On-site WebEx - $[ ] /user § On Site at USBFS - $___[ ] /day § At Client Location - $___[ ] /day plus travel and out-of-pocket expenses if requiredrequired § Real Time Data Feeds - Implementation (per feed) - $[ ] /hour (8 hour estimate) - Recurring (per feed) - $[ ] /month CUSIP Setup - § Subsequent CUSIP Setup - $[ ]/CUSIP § Expedited CUSIP Setup - $[ ] /CUSIP (Less than 35 days) CTI Reporting – Integrated custom detailed call reporting § $[ ] /monthly report

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Cook & Bynum Funds Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F E (continuedcontinued ) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement - Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August____________, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) Implementation - $)___[ ]/fund group – includes up to 25 hours of technical/BSA support Annual Base Fee - $___[ ] /year § FAN Web Select (Fund Groups under 50,000 open accounts) Implementation - $___[ ] /fund group – includes up to 10 hours of technical/BSA support Annual Base Fee - $___[ ] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ [ ] /hour § – (subject to change at prevailing rates of vendor) ■ Activity (Session) Fees: Inquiry - $___[ ] /event Account Maintenance - $___[ ] /event Transaction – financial transactions, reorder statements, etc. - $___[ ] /event New Account Setup - $___[ ] /event (Not available with FAN Web Select) § Strong Authentication: $___[ ] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___[ ] /year § Per Record Charge Rep/Branch/ID - $___ − [ ] – Dealer - $___ § [ ] ■ Price Files - $___[ ] /record or $___[ ] /user per month, whichever is less Vision 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 - $___[ ] /event Per broker ID - $___[ ]/month per ID § Transaction Processing Implementation - $___[ ] /management company Transaction – purchase, redeem, exchange, literature order - $___[ ] /event New Account Setup - $[ ] /event $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required[ ] /month

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Oaktree Funds)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Advisor’s Signature below acknowledges approval of the fee schedules on this Exhibit F JJ. First State Investments (US) LLC By:/s/ Samantha Rxxx Printed Name: Samantha Rxxx Title: Director Date: January 24, 2017 First State Exhibit JJ (continued) to the Advisors Series Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustDecember, 2014 2016 CUSIP Setup CUSIP Setup beyond the initial CUSIP – $[ ] per CUSIP Expedited CUSIP Setup – $[ ] per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) Implementation - $)___/fund [ ] per fund group – includes up to 25 90 hours of technical/BSA support Annual Base Fee - $___/year § [ ] per year FAN Web Select (Fund Groups under 50,000 open accounts) Implementation - $___/fund [ ] per fund group – includes up to 10 45 hours of technical/BSA support Annual Base Fee - $___/year § FAN Web Direct [ ] per year Customization – $[ ] per hour – (APIsubject to change at prevailing rates of vendor) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: Inquiry - $___/event − [ ] per event Account Maintenance - $___/event − [ ] per event Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − [ ] per event New Account Setup - Set-up – $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: $___/month [ ] per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § [ ] per year Per Record Charge Rep/Branch/ID - $___ − [ ] Dealer - $___ § [ ] Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker [ ] per event - Vision ID - $___/month [ ] per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − [ ] per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − [ ] per event - Monthly Minimum Charge - $___ /month Vision [ ] per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund [ ] per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$[ ] per image - Archive charge (for any image stored beyond 2 years) − years)- $___/document [ ] per document *Normal Vision ID and activity event charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Advisors Series Trust (Advisors Series Trust)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon and documented on the following services - Additional Services fee schedule: FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement a closed account shall be charged in the month following the month during which such account is closed Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] per qualified plan account or Cxxxxxxxx ESA account (Cap at August, 2014 FAN Web $[ ] per SSN) § $[ ] per transfer to successor trustee § $[ ] per participant distribution (Excluding SWPs) § $[ ] per refund of excess contribution § $[ ] per reconversion/recharacterization Additional Shareholder internet Paid Fees § $[ ] per outgoing wire transfer or overnight delivery § $[ ] per telephone exchange § $[ ] per return check or ACH or stop payment § $[ ] per statement year requested per account (This fee applies to research requests for statements older than the prior year) CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $[ ] per CUSIP § Expedited CUSIP Setup – $[ ] per CUSIP (Less than 35 days) Fund Characteristic Change § Fund Name Change – $[ ] per fund/ per change § Fund CUSIP Change – $[ ] per fund/ per change Digital Investor Shareholder account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, and perform account maintenance activities. Electronic document delivery is also available as an adjunct service. Digital Investor includes user interface which caters to a full range of connected devices, including tablets and smart phones. The standard implementation comes with advanced authentication, eCommerce inspired workflows, and a base package of transaction history, purchase additional shares through ACH, etcand maintenance functionality. § FAN Web Premium (Fund Groups over 50,000 open accounts) Digital Investor − Implementation - $)___/fund [ ] per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour [ ] per year Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request. § Activity (Session) Fees: − Inquiry - $___/event [ ] per event − Login Challenge – $[ ] per event − Account Maintenance - $___/event [ ] per event − Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event [ ] per event − New Account Setup - Set-up – $___/event (Not available with FAN Web Select) § Strong Authentication: [ ] per event Bank Verification Attempt – $___/month [ ] per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event event 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 - $___/year [ ] per year § Per Record Charge - Rep/Branch/ID – $[ ] - Dealer – $___ − Dealer - $___ [ ] § Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker [ ] per event - Vision ID - $___/month [ ] per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − [ ] per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − [ ] per event - Monthly Minimum Charge - $___ /month Vision [ ] per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund [ ] per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$[ ] per image - Archive charge (for any image stored beyond 2 years) − $___/document [ ] years)-$ [ ] per document *Normal Vision ID and activity event charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (North Square Investments Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Advisor’s signature below acknowledges approval of the fee schedules on this Exhibit F C. Xxxxxx Fund Advisers, LLC By: /s/ Dxxxx Xxxxxx Date: May 2, 2014 Name: Dxxxx Xxxxxx Title: Chief Compliance Officer Exhibit C (continued) to the Trust for Advised Portfolios Professional Managers Transfer Agent Servicing Agreement – Wxxxxx Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustApril, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)____ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $____ /hour § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $____ § Monthly Base Fee - $____ § Transaction Fees:  − - Inquiry - $____ /event  − - Maintenance - $____ /event  − - Transaction - $____ /event  − - New Account Establishment Setup - $____ /event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $____ − Dealer - $____ § Price Files - $____ /record or $____ /user per month, whichever is less Vision 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $____ /management company − Transaction – purchase, redeem, exchange, literature order - $____ /event − New Account Setup – $____ /event − Monthly Minimum Charge - $____ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $____ /fund group Lxxx Mxxxx 3 Exhibit F C (continued) to the Trust for Advised Portfolios Professional Managers Transfer Agent Servicing Agreement – Wxxxxx Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at AugustApril, 2014 Vision Electronic Statements (Continued) § Load charges − $____ /image § Archive charge (for any image stored beyond 2 years) − $____ /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $____ /user - Support: $____ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $____ /request (Includes up to 2 hours of programming. If beyond, additional time will be $____ / hour consultation and development.) - Support: $____ /file per month - Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $____ one-time fee - Support: $____ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $____ implementation − $____ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $____ implementation − $____ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $____ implementation − $____ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $____ implementation − $____ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $____ implementation − $____ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $____ implementation − $____ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $____ /month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $____ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit C (continued) to the Trust for Professional Managers Transfer Agent Servicing Agreement – Wxxxxx Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at AugustApril, 2014 Transfer Agent Training Services § On-site at USBFS - $____ /day § At Client Location - $____ /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $____ /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $____ setup /fund group § $____ /month administration § $____ /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $____ /fund group per month Literature Fulfillment Services* § Account Management − $____ /month § Inbound Teleservicing Only − Account Management - $____ /month − Call Servicing - $____ /minute § Lead Conversion Reporting − $____ /month § Closed Loop Reporting − Account Management - $____ /month − Database Installation, Setup - $____ /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $____ /monthly report Exhibit C (continued) to the Trust for Professional Managers Transfer Agent Servicing Agreement – Wxxxxx Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at April, 2014 FAF Money Market Fund Service Organizations § $____ /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $____ /qualified plan account or Cxxxxxxxx ESA account (Cap at $____ /SSN) § $____ /transfer to successor trustee § $____ /participant distribution (Excluding SWPs) § $____ /refund of excess contribution § $____ /reconversion/recharacterization Additional Shareholder Paid Fees § $____ /outgoing wire transfer or overnight delivery § $____ /telephone exchange § $____ /return check or ACH or stop payment § $____ /research request per account (Cap at $____ /request) (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Additional Services. Available but not included above are the following services - services—FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application client dedicated line data access, programming charges, outbound calling & marketing campaigns, training, Short-Term Trader reporting, cost basis reporting, Excessive Trader, EWS, 12b-1 aging, investor email services, dealer reclaim services, literature fulfillmentshareholder performance statements, Real Time Cash Flow, money market fund service organizations, charges paid by investors, literature fulfillment, physical certificate processing, Real Time Same Day Cash FlowManagement, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. * Fees are calculated pro rata and billed monthly. Praxis 11/1/12 15 Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule COMMERCE SERVICES FEE SCHEDULE at AugustNov, 2014 2012 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: Inquiry - $___/event Account Maintenance - $___/event Transaction – financial transactions, reorder statements, etc. - $___/event New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § $ • Monthly Base Fee - $___ § $ • Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § delivery—$/year • Per Record Charge Rep/Branch/ID - $___ − $ • Dealer - $___ § $ • Price Files - $___/record or $___/user per month, whichever is less 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 - $___/event Per broker ID - $___$ /month per ID § Transaction Processing Implementation - $___/management company Transaction – purchase, redeem, exchange, literature order - $___/event New Account Setup – $___/event Monthly Minimum Charge - $___ $ /month Praxis 11/1/12 16 Exhibit C (continued) to the Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES - Fee Schedule at November, 2012 Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees • Develop eBusiness Solutions Software - $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § • Code Print Software - $/fund group • Load charges $___/image § Archive charge (for any image stored beyond 2 years) $___/document ** Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § • Report Source • Setup: $ (Includes access to Fund Source) • Service: $/user per month • BDS – Statement Storage & Retrieval Setup: $___ $ /user − Support• Service: $___ $ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development Setup: $___ $ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ $ / hour consultation and development.) − Support• Service: $___ $ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-one time setup fee − Support: $___ • $ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure maintenance fee • Mail File (DDS mailbox in which clients can pull information): $ /file setup • TIP File Setup • Setup & Delivery of Standard TIP Files: $ /request (Unlimited files per request) • Custom TIP File Development: $ /request (Includes up to allow for application accessibility to host systems 2 hours of programming. If beyond, additional time will be $ /hour consultation and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etcdevelopment.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Praxis Mutual Funds)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F N (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustOctober, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event per event − Account Maintenance - $___/event per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event per event − New Account Setup - $___/event per event (Not available with FAN Web Select) § Strong Authentication: − $___/month per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over __open accounts) § Implementation Site Setup Fee - $___ per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $__per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $__fund group – includes up to __hours of technical/BSA support − Annual Base Fee - $__per year § Customization - $__ per hour - (subject to change at prevailing rates of vendor) § Transaction Activity (Session) Fees: − Inquiry - $___/event  event Account Maintenance - $___/event  per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  per event − New Account Establishment Setup Set-up - $__per event (Not available with FAN Web Select) § Strong Authentication: − $_/event _per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year per year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record per record or $___/user per user per month, whichever is less Exhibit N (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at October, 2016 Vision Permits broker/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 - $___/event per event − Per broker ID - $___/month per month per ID § Transaction Processing − Implementation - $___/management per management company − Transaction – purchase, redeem, exchange, literature order - $___/event per event − New Account Setup – $___/event per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines. - $___/fund group Lxxx Mxxxx 3 per Month - Unlimited Users Exhibit F N (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at AugustOctober, 2014 Vision Electronic Statements (Continued) § Load charges − 2016 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user − per user - Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $__per user per month beyond _/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required_ users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *Amended Exhibit H (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES ANNUAL FEE SCHEDULE (continued) EFFECTIVE: May 1, 2016 Service Charges to Investors Qualified Plan Fees (Billed to Investors) ¨ $[ ] /qualified plan acct (Cap at $[ ]/SSN) ¨ $[ ] /education IXX acct (Cap at $[ ]/SSN) ¨ $[ ] /transfer to successor trustee ¨ $[ ] /participant distribution (Excluding SWPs) ¨ $[ ] /refund of excess contribution Additional Shareholder Fees (Billed to Investors) ¨ $[ ]/outgoing wire transfer ¨ $[ ]/overnight delivery ¨ $[ ]/telephone exchange ¨ $[ ]/return check or ACH ¨ $[ ]/stop payment ¨ $[ ] /research request (For items prior to the second calendar year to the request or before) (Cap at $[ ]) * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios a closed account shall be charged in the month following the month during which such account is closed Advisor’s signature below acknowledges approval of the Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at Augustfee schedule on this Amended Exhibit H HXXXXX CAPITAL MANAGEMENT, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web siteINC. Shareholders access account informationBy: /s/ Cxxxx Xxxxxx Name: Cxxxx Xxxxxx Title: CIO Date:July 12, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required2016

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F E (continued) to the Trust for Advised - Manager Directed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – Agreement; E-Commerce Services Fee Schedule Schedules at AugustSept, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund _ per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund _ per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Direct (API) – Quoted Separately § Customization - $____ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event _ per event − Account Maintenance - $___/event _ per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event _ per event − New Account Setup - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $____ per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $____ per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $____ per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $____ per year § Customization - $____ per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  _ per event Account Maintenance - $___/event  _ per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  _ per event − New Account Establishment Setup Set-up - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $____ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year _ per year § Per Record Charge − Rep/Branch/ID - $____ − Dealer - $____ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Vision Permits broker/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 - $___/event _ per event − Per broker ID - $___/month _ per month per ID § Transaction Processing − Implementation - $___/management _ per management company − Transaction – purchase, redeem, exchange, literature order - $___/event _ per event − New Account Setup – $___/event _ per event − Monthly Minimum Charge - $____ /month Vision Electronic Statements Provides the capability for financial intermediaries per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines. - $___/fund group Lxxx Mxxxx 3 _ per Month - Unlimited Users Exhibit F E (continued) to the Trust for Advised Manager Directed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at AugustSept, 2014 Vision Electronic Statements (Continued) § Load charges − 2016 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − - Setup: $___one-time fee − _ per user - Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon per user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required_ per user per month beyond 2 users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services E-Commerce Services Fee Schedule FundX Investment Trust Fees at August________, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) − Implementation - $)___[ ] /fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Select (Fund Groups under 50,000 [ ] open accounts) − Implementation - $___[ ] /fund group – includes up to 10 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour [ ] /hour- (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___[ ] /event − Account Maintenance - $___[ ] /event − Transaction – financial transactions, reorder statements, etc. - $___[ ] /event − New Account Setup - $___[ ] /event (Not available with FAN Web Select) § Strong Authentication: − $___[ ] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___[ ] /year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___[ ] /record or $___[ ] /user per month, whichever is less Vision 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 - $___[ ] /event − Per broker ID - $___[ ] /month per ID § Transaction Processing − Implementation - $___[ ] /management company − Transaction – purchase, redeem, exchange, literature order - $___[ ] /event − New Account Setup – $___[ ] /event − Monthly Minimum Charge - $___ [ ] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___[ ] /fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___[ ] /image § Archive charge (for any image stored beyond 2 years) − $___[ ] /document *Normal Vision ID and activity charges also apply. Exhibit D (continued) to the Transfer Agent Servicing Agreement – FundX Investment Trust Fees at ________, 2014 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ [ ] /user - Support: $___ [ ] /user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - $[ ]/ user per month beyond [ ] users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyond[ ] per file - Custom coded data for recurring, additional time will be scheduled delivery: $___ / [ ] per hour consultation and development.) − programming development - Support: $___ [ ] /file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___[ ] one-time fee - Support: $___ [ ] /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___[ ] implementation − $___ [ ] /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ [ ] implementation − $___ [ ] /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___[ ] implementation − $___ [ ] /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___[ ] implementation − $___ [ ] /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___[ ] implementation − $___ [ ] /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___[ ] implementation − $___ [ ] /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___[ ] /month Lxxx Mxxxx 4 Exhibit F Programming Charges- (continuedsubject to change at prevailing rate of vendor) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ [ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit D (continued) to the Transfer Agent & Shareholder Services Supplemental Services Fee Schedule Servicing Agreement – FundX Investment Trust Fees at August________, 2014 Transfer Agent Training Services § On-site at USBFS - $___[ ] /day § At Client Location - $___[ ] /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] setup /fund group § $[ ] /month administration § $[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[ ] /fund group per month Literature Fulfillment Services* § Account Management − $[ ] /month § Inbound Teleservicing Only − Account Management - $[ ] /month − Call Servicing - $[ ] /minute § Lead Source Reporting − $[ ] /month § Closed Loop Reporting − Account Management - $[ ] /month − Database Installation, Setup - $[ ] /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $[ ] /monthly report Exhibit D (continued) to the Transfer Agent Servicing Agreement – FundX Investment Trust Fees at ________, 2014 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (FundX Investment Trust)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon and documented on the following services - Additional Services fee schedule: FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Exhibit F L (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $___ per qualified plan account or Cxxxxxxxx ESA account (Cap at August, 2014 $___ per SSN) § $___ per transfer to successor trustee § $___ per participant distribution (Excluding SWPs) § $___ per refund of excess contribution § $___ per reconversion/recharacterization Additional Shareholder Paid Fees § $___ per outgoing wire transfer or overnight delivery § $___ per telephone exchange § $___ per return check or ACH or stop payment § $___ per research request per account (This fee applies to requests for statements older than the prior year) CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $___ per CUSIP § Expedited CUSIP Setup – $___ per CUSIP (Less than 35 days) Fund Characteristic Change § Fund Name Change – $___ per fund/ per change § Fund CUSIP Change – $___ per fund/ per change FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) - Implementation - $)___/fund _ per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) - Implementation - $___/fund _ per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) Quoted Separately § Customization - $___ /hour per year § Customization – $___ per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry - $___/event − _ per event - Account Maintenance - $___/event − _ per event - Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − _ per event - New Account Setup - Set-up – $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: - $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year _ per year § Per Record Charge - Rep/Branch/ID - $___ - Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $___ /month Vision per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund _ per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $charges-$___/image § _ per image - Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: - $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation document *Vision ID and developmentevent charges also apply.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Agent Servicing Agreement (Series Portfolios Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *upon Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F C (continued) to the Series Portfolios Trust for Advised Portfolios - Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule Fees at AugustSeptember, 2014 2015 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund _ per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund _ per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event _ per event − Account Maintenance - $___/event _ per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event _ per event − New Account Setup - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $___ per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $___ per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $___ per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $___ per year § Customization - $___ per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  _ per event Account Maintenance - $___/event  _ per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  _ per event − New Account Establishment Setup Set-up - $___ per event (Not available with FAN Web Select) § Strong Authentication: − $_/event __ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year _ per year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Vision Permits broker/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 - $___/event _ per event − Per broker ID - $___/month _ per month per ID § Transaction Processing − Implementation - $___/management _ per management company − Transaction – purchase, redeem, exchange, literature order - $___/event _ per event Exhibit C (continued) to the Transfer Agent Servicing Agreement – Series Portfolios Trust – E-Commerce Fees at September, 2015 Vision – (continued) − New Account Setup – $___/event _ per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services _ per Month - Unlimited Users eConnect E-Commerce Services Fee Schedule (continued) at AugustUpon consent from shareholder caller, 2014 Vision Electronic Statements (Continued) § Load charges − forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $ § Report and Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $___ /user − Support: $___ /user per user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to beyond 2 hours users included as part of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredsetup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web sales reporting data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reportingwarehouse, investor email services, dealer reclaim e-mail services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI lead conversion reporting, sales reporting & 22c-2 reporting (MARS)12b-1 aging, electronic statements (Informa)Same Day Cash Flow System, marketing and fulfillment solution (eCONNECT)Short-Term Trader reporting, Jumbo Pricing, and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSADaily Valuation/Manual 401K Trade. Fees are calculated pro rata and billed monthly. monthly 11/2011 2 Amended Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent Agreement-DoubleLine Funds Trust TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule at August, 2014 COMMERCE SERVICES FEE SCHEDULE AT NOVEMBER 2011 FAN Web WEB Shareholder internet access to account information and transaction capabilities through a hyperlink transparent link at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted API)—Quoted Separately § Customization - $___ 165 /hour § Activity (Session) Fees: Inquiry - $___0.15 /event Account Maintenance - $___0.25 /event − Transaction – • Transaction—financial transactions, reorder statements, etc. - $___0.50 /event New Account Setup Set-up - $___3.00 /event (Not available with FAN Web Select) § Strong Authentication: $___0.045 /month per active active* FAN Web ID (* Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 – • Transaction—purchase, redeem, exchange, literature order - $___0.50 /event New Account Setup – Setup—may contain multiple fund/accounts - $___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 − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access CLIENT DEDICATED LINE DATA ACCESS For USBFS client clients requiring continuous on-line access to fund USBFS shareholder accounting systems, such as for client call center support: • $7,000 /year per workstation for TA2000 AWD access • Plus data communications setup and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending monthly charges based upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) • Plus training billed at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day hourly rates plus travel and out-of-pocket expenses if requiredAmended Exhibit E (continued) to the Transfer Agent Servicing Agreement-DoubleLine Funds Trust TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE AT NOVEMBER 2011 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. • 90 days or less – $0.08 /open account • 91-180 days – $0.14 /open account • 181-270 days – $0.20 /open account • 271 days – 1 year - $0.26 /open account • 1 year – 2 years - $0.38 /open account Cost Basis Reporting—Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. • $1.00 /direct open account per year 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. • $500 setup /fund group of 1-5 funds, $1,500 setup /fund group of over 5 funds • $0.12 /account per year 12b-l Distribution Fee Aging—Aging shareholder account share lots in order to monitor and begin assessing 12b-l fees after a certain share lot age will be charged at $1.50 per open account per year.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (DoubleLine Funds Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)FundSource, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement a closed account shall be charged in the month following the month during which such account is closed Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $____ per CUSIP § Expedited CUSIP Setup – $____ per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) - Implementation - $)___/fund _ per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) - Implementation - $___/fund _ per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately _ per year § Customization - $____ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry - $___/event − _ per event - Account Maintenance - $___/event − _ per event - Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − _ per event - New Account Setup - Set-up – $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: - $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year _ per year § Per Record Charge - Rep/Branch/ID - $____ - Dealer - $____ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $____ /month Vision per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund _ per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $charges-$___/image § _ per image - Archive charge (for any image stored beyond 2 years) − $years)-$ ___/document _ per document *Normal Vision ID and activity event charges also apply. FundSource Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required_ per Month – Unlimited Users

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)FundSource, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Amended Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustJanuary 1, 2014 2017 CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $__ per CUSIP § Expedited CUSIP Setup – $__ per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 __ open accounts) - Implementation - $)___/fund _ per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 __ open accounts) - Implementation - $___/fund _ per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately _ per year § Customization - $___ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry - $___/event − _ per event - Account Maintenance - $___/event − _ per event - Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − _ per event - New Account Setup - Set-up – $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: - $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year _ per year § Per Record Charge - Rep/Branch/ID - $___ - Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $__ per month § Electronic Statements* - Implementation- $__ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $per fund group - Load charges-$___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § _ per image - Archive charge (for any image stored beyond 2 years) − $years)-$ ___/document _ per document *Normal Vision ID and activity event charges also apply. FundSource Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required_ per Month – Unlimited Users

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Westchester Capital Funds)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Amended Exhibit F B (continued) to the Trust for Advised Portfolios - Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule Fees at AugustJanuary, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 __open accounts) − Implementation - $)___/fund group – includes up to 25 __ hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 __open accounts) − Implementation - $___/fund group – includes up to 10 __hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − - Inquiry - $___/event  − - Maintenance - $___/event  − - Transaction - $___/event  − - New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Amended Exhibit F B (continued) to the Trust for Advised Portfolios - Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) Fees at AugustJanuary, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 a closed account shall be charged in the month following the month during which such account is closed. FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)____ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § – (subject to change at prevailing rates of vendor) Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $____ /record or $____ /user per month, whichever is less Vision 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $____ /management company − Transaction – purchase, redeem, exchange, literature order - $____ /event − New Account Setup – $____ /event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $____ /fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $____ /image § Archive charge (for any image stored beyond 2 years) − $____ /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval Setup: $___ /user Support: $___ /user per month ReportSource – Report and Data File Storage & Retrieval Setup: Included in intial fund setup on Transfer Agent system $__/ user per month beyond 2 users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − SetupStandard ad-hoc select: $__ per file Custom coded data for recurring, scheduled delivery: $__ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / per hour consultation and development.) − programming development Support: $___ /file per month − Files can be Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) Setup: $____ one-time fee Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $____ implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $____ implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $____ implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $____ implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $____ implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $____ /month Lxxx Mxxxx 4 Exhibit F Programming Charges- (continuedsubject to change at prevailing rate of vendor) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: Fund setup programming (transfer agent system, statements, options, etc.) Conversion programming Customized service development Voice response system setup (menu selections, shareholder system integration, testing, etc.) All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $____ /day § At Client Location - $____ /day plus travel and out-of-pocket miscellaneous expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. $__ /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: $__ setup /fund group $__ /month administration $__ /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. $__ /fund group per month Literature Fulfillment Services Account Management/Database Administration • $__ per month • Receiving – $__ per SKU • Order Processing – $__per order • Skid Storage – $__ per month per location • Disposal – $__ per SKU Inbound Teleservicing Only • Account Management – $__ per month (OR) • Call Servicing – $__ per call Lead Source Reporting • $__ per month Closed Loop Reporting • Account Management – $__ per month • Database Installation, Setup – $__ per fund group Miscellaneous Expenses • Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $__ /monthly report Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees $__ /qualified plan account or Xxxxxxxxx ESA account (Cap at $__ /SSN) $__ /transfer to successor trustee $__ /participant distribution (Excluding SWPs) $__ /refund of excess contribution $__ /reconversion/recharacterization Additional Shareholder Paid Fees $__ /outgoing wire transfer or overnight delivery $__ /telephone exchange $__ /return check or ACH or stop payment $__ /research request per account (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Advisor Managed Portfolios

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement – EIP Investment Trust Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule fee schedules at AugustDecember, 2014 2015 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund 15,000 per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year 36,000 per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund 5,000 per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year 12,000 per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour 200 per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event 0.15 per event − Account Maintenance - $___/event 0.25 per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event 0.50 per event − New Account Setup - $___/event 3.00 per event (Not available with FAN Web Select) § Strong Authentication: − $___/month 0.045 per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $___ 25,000 per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $___ 39,000 per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $12,000per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $15,000 per year § Customization - $200 per hour § Activity (Session) Fees: − Inquiry - $___/event  0.15 per event Account Maintenance - $___/event  0.25 per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  0.50 per event − New Account Establishment Setup Set-up - $___/event 3.00 per event (Not available with FAN Web Select) § Strong Authentication: − $0.045 per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year 6,000 per year § Per Record Charge − Rep/Branch/ID - $___ .018 − Dealer - $___ 0.012 § Price Files - $___/record 0.002 per record or $___/user 1.75 per user per month, whichever is less Vision Permits broker/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 - $___/event 0.05 per event − Per broker ID - $___/month 5.00 per month per ID § Transaction Processing − Implementation - $___/management 5,000 per management company − Transaction – purchase, redeem, exchange, literature order - $___/event 0.50 per event − New Account Setup – $___/event 3.00 per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries 500 per month Fund Source – Client Access to access electronic statements via the Vision applicationaudited fund information, pricing, performance, literature, processing guidelines.* § Implementation Fees − ; $___/fund group Lxxx Mxxxx 3 250 per Month - Unlimited Users Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services EIP Investment Trust E-Commerce Services Fee Schedule (continued) at AugustDecember, 2014 Vision Electronic Statements (Continued) § Load charges − 2015 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. 5 per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user − 250 per user - Support: $___ /user 100 per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $200 per user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredbeyond 2 users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Eip Investment Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informalnforma), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___36,000 /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ 200 /hour § – (subject to change at prevailing rates of vendor) ◾ Activity (Session) Fees: Inquiry - $___0.15 /event Account Maintenance - $___0.25 /event Transaction – financial transactions, reorder statements, etc. - $___0.50 /event New Account Setup - $___3.00 /event (Not available with FAN Web Select) § Strong Authentication: $___0.045 /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___6,000 /year § Per Record Charge Rep/Branch/ID - $___ − .018 – Dealer - $___ § 0.012 ◾ Price Files - $___0.002 /record or $___1.75 /user per month, whichever is less Vision 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 $___5,000 /fund group Lxxx Mxxxx 3 Vision Electronic Statements ◾ 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 F E (continuedContinued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval Setup: $___ 250 /user Support: $___ 100 /user per month ◾ ReportSource – Report and Data File Storage & Retrieval – Setup: Included in intial fund setup on Transfer Agent system – $200/ user per month beyond 2 users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup– Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyond300 per file – Custom coded data for recurring, additional time will be scheduled delivery: $___ / 165 per hour consultation and development.) − programming development – Support: $___ 100 /file per month − Files can be – Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) Setup: $___2,500 one-time fee Support: $___ 100 /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers $___1,500 implementation $___ 500 /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. $___ 500 implementation $___ 200 /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. $___2,500 implementation $___ 350 /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. $___1,000 implementation $___ 200 /ID per month § Automated Work Distributor (AWD) – Image and workflow application. $___13,500 implementation $___ 400 /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. $___1,500 implementation $___ 200 /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. $___3,000 /month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § – (subject to change at prevailing rate of vendor) ◾ $___ 200 /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: Fund setup programming (transfer agent system, statements, options, etc.) Conversion programming Customized service development Voice response system setup (menu selections, shareholder system integration, testing, etc.) All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit E (continued) to the Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Servicing Agreement Transfer Agent Training Services § On-site at USBFS - $___1,500 /day § At Client Location - $___2,500 /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting - Annual reporting of shareholder cost basis for non-fiduciary direct accounts. ◾ $1.00 /direct open account per year Contact Center Call Servicing - Services to answer shareholder calls through a dedicated toll-free number. ◾ $1,500 /month ◾ 1.50 /minute/Shareholder Call ◾ $0.40 Voice Response Calls ◾ Plus Miscellaneous Charges related to toll-free lines, call transfers, etc. Email Services - Services to capture, queue, monitor, service and archive shareholder email correspondence: ◾ $1,500 setup /fund group ◾ $500 /month administration ◾ $5.00 /received email correspondence Dealer Reclaim Services - Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. ◾ $1,000 /fund group per month Literature Fulfillment Services* ◾ Account Management – $300 /month ◾ Inbound Teleservicing Only – Account Management – $250 /month – Call Servicing – $1.25 /minute ◾ Lead Source Reporting – $250 /month ◾ Closed Loop Reporting – Account Management – $500 /month – Database Installation, Setup – $1,500 /fund group ◾ Miscellaneous Expenses – Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting - Integrated custom detailed call reporting $250 /monthly report Exhibit E (continued) to the Transfer Agent Servicing Agreement Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees ◾ $15.00 /qualified plan account or Xxxxxxxxx ESA account (Cap at $30.00 /SSN) ◾ $25.00 /transfer to successor trustee ◾ $25.00 /refund of excess contribution Additional Shareholder Paid Fees ◾ $15.00 /outgoing wire transfer or overnight delivery ◾ $5.00 /telephone exchange ◾ $25.00 /return check or ACH or stop payment ◾ $10.00 /research request per account (This fee applies to requests for statements older than the prior year) Physical Certificate Processing – Services to support the setup and processing of physical certificated shares for a fund family: ◾ $750 setup/fund group ◾ $10.00 /certificate transaction Real Time Cash Flow ◾ Implementation (one time charge) & Recurring Charges (monthly) – 5 Users – $3,750 – 10 Users – $6,375 – 20 Users – $10,500 – 30 Users – $12,375 – 40 Users – $13,500 – 50 Users – $15,000 ◾ Training – WebEx – $500 /user – On Site at USBFS – $1,500 /day – At Client Location – $2,500 /day plus travel and out-of-pocket expenses if required ◾ Real Time Data Feeds – Implementation (per feed) – $225 /hour (8 hour estimate) – Recurring (per feed) – $375 /month Recurring per Image Storage Fee Quantity Rate Total 1MM images $5,000 $5,000 $5,000 Exhibit E (continued) to the Transfer Agent Agreement MARS Lite Fee Schedule MARS v7i Product and Services MARS System Setup and Implementation Fees One-time fee One-time Cost System Implementation Cost- Historical Sales and Compliance and Contact Data from DST TA2000 or up to 2 years of data for MARS Lite. $ 25,000 *$10,000 *$10,000 Standard MARS Interface $ 2,500 Omni/SERV Interface Setup $ 1,800 MARS Omni\SERV Module Setup Fee $ 2,500 MARS Training per Day $ 2,500 Data Conversion Schwab – Historical sales from Schwab for up to 2 years of sales history $ 2,500 Data Conversion Fidelity – Historical sales from Fidelity for up to 2 years of sales history. $ 2,500 Data Conversion TD Ameritrade – Historical sales from TD Ameritrade for up to 2 vears of sales history. $ 2,500 Data Conversion DataLynx – Historical sales from DataLynx for up to 2 years of sales history. $ 2,500 Custom Data lnterfaceSetup Cost per interface Number of interfaces $ 7,500 Total One-time Cost: *$10,000 one-time Cost MARS v7i Product and Services MARS System Setup and Implementation Fees Monthly Cost MARS Lite Sales & Compliance Modules1 $ 7,500 $ 10,000 *$6,000 *$6,000 Notes: 1. MARS Lite includes Schwab, Fidelity and OmniServ Interfaces. Does not provide user access or CRM functionality. Total Monthly Cost: *$6,000 Where the price is marked with a “*” this is a discounted price if signed by 12/31/2014 Exhibit E to the Sub-Transfer Agent Servicing Agreement Supplemental Services – Electronic Signature Capture Fee Schedule Electronic Form Delivery and Signature Capture – Setup Fee Implementation – $1,000.00 (includes 15 forms) – Additional Setup $75.00 for each additional form and email template – Transaction Fee o $6.00 per electronic envelope, and o Monthly minimum charge – $100.00 – Form and Fund Logo Modifications o $75.00 per Form o Updated Fund Logo – $100.00

Appears in 1 contract

Samples: Agent Servicing Agreement (Carillon Series Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustMay, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)____ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $____ /record or $____ /user per month, whichever is less Vision 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Vision Electronic Statements (Continued) § Load charges − $__/image § Archive charge (for any image stored beyond 2 years) − $__/document *Normal Vision ID and activity charges also apply. Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at AugustMay, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user - Support: $___ /user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - $__/ user per month beyond 2 users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyondper file - Custom coded data for recurring, additional time will be scheduled delivery: $___ / per hour consultation and development.) − programming development - Support: $___ /file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___one-time fee - Support: $___ /file file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $__/month Programming Charges- (subject to change at prevailing rate of vendor) § $_/month Lxxx Mxxxx 4 _ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at AugustMay, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $__/direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $__setup /fund group § $__ /month administration § $__/received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $__/fund group per month Literature Fulfillment Services* § Account Management − $__ /month § Inbound Teleservicing Only − Account Management - $__ /month − Call Servicing - $__/minute § Lead Source Reporting − $__ /month § Closed Loop Reporting − Account Management - $__ /month − Database Installation, Setup - $__/fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)FundSource, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement - Transfer Agent & Shareholder Services Services; Supplemental Services – E-Commerce Services Fee Schedule at AugustMay, 2014 2017 CUSIP Setup ■ CUSIP Setup beyond the initial CUSIP – $1,500 per CUSIP ■ Expedited CUSIP Setup – $3,000 per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) - Implementation - $)___/fund 25,000 per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year § 39,000 per year ■ FAN Web Select (Fund Groups under 50,000 open accounts) - Implementation - $___/fund 12,000 per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct 15,000 per year ■ Customization – $200 per hour – (APIsubject to change at prevailing rates of vendor) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: - Inquiry – $0.15 per event - $___/event − Account Maintenance – $0.25 per event - $___/event − Transaction – financial transactions, reorder statementsduplicate statement requests, etc. – $0.50 per event - $___/event − New Account Setup - Set-up – $___/event 3.00 per event (Not available with FAN Web Select) § Strong Authentication: - $___/month 0.045 per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § 6,000 per year ■ Per Record Charge - Rep/Branch/ID – $.018 - Dealer – $___ − Dealer - $___ § 0.012 ■ Price Files - $___/record 0.002 per record or $___/user 1.75 per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − ■ Account inquiry - Inquiry - $___/event − Per broker 0.05 per event - Vision ID - $___/month 5.00 per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − 5,000 per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − 0.50 per event - Monthly Minimum Charge - $___ /month Vision 500 per month ■ Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund 5,000 per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$0.05 per image - Archive charge (for any image stored beyond 2 years) − $___/document years)-$0.015 per document *Normal Vision ID and activity event charges also apply. FundSource Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required250 per Month – Unlimited Users

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (BMT Investment Funds)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. monthly Exhibit F CC (continued) to the Trust for Advised Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 November 2013 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) − Implementation - $)___[ ] /fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Select (Fund Groups under 50,000 [ ] open accounts) − Implementation - $___[ ] /fund group – includes up to 10 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ [ ] /hour § Activity (Session) Fees: − Inquiry - $___[ ] /event − Account Maintenance - $___[ ] /event − Transaction – financial transactions, reorder statements, etc. - $___[ ] /event − New Account Setup - $___[ ] /event (Not available with FAN Web Select) § Strong Authentication: − $___[ ] /month per active FAN Web ID (Any ID that has had activity within the 180-day [ ]-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ [ ] § Monthly Base Fee - $___ [ ] § Transaction Fees:  − - Inquiry - $___[ ] /event  − - Maintenance - $___[ ] /event  − - Transaction - $___[ ] /event  − - New Account Establishment Setup - $___[ ] /event 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 - $___[ ] /year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___[ ] /record or $___[ ] /user per month, whichever is less Vision 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 - $___[ ] /event − Per broker ID - $___[ ] /month per ID § Transaction Processing − Implementation - $___[ ] /management company − Transaction – purchase, redeem, exchange, literature order - $___[ ] /event − New Account Setup – $___[ ] /event − Monthly Minimum Charge - $___ [ ] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___[ ] /fund group Lxxx Mxxxx 3 Exhibit F CC (continued) to the Trust for Advised Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 November 2013 Vision Electronic Statements (Continued) § Load charges − $___[ ] /image § Archive charge (for any image stored beyond 2 [ ] years) − $___[ ] /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ [ ] /user - Support: $___ [ ] /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $___ [ ] /request (Includes up to 2 [ ] hours of programming. If beyond, additional time will be $___ [ ] / hour consultation and development.) - Support: $___ [ ] /file per month - Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___[ ] one-time fee - Support: $___ [ ] /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___[ ] implementation − $___ [ ] /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ [ ] implementation − $___ [ ] /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___[ ] implementation − $___ [ ] /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___[ ] implementation − $___ [ ] /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___[ ] implementation − $___ [ ] /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___[ ] implementation − $___ [ ] /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___[ ] /month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ [ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. requirements Exhibit CC (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 November 2013 Transfer Agent Training Services § On-site at USBFS - $___[ ] /day § At Client Location - $___[ ] /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. o $[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] setup /fund group § $[ ] /month administration § $[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[ ] /fund group per month Literature Fulfillment Services* § Account Management − $[ ] /month § Inbound Teleservicing Only − Account Management - $[ ] /month − Call Servicing - $[ ] /minute § Lead Conversion Reporting − $[ ] /month § Closed Loop Reporting − Account Management - $[ ] /month − Database Installation, Setup - $[ ] /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $[ ] /monthly report FAF Money Market Fund Service Organizations § $[ ] /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (Cap at $[ ] /request) (This fee applies to requests for statements older than the prior year) Exhibit CC (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (continued) at November 2013 Physical Certificate Processing – Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup/fund group § $[ ] /certificate transaction Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training - WebEx - $[ ] /user - On Site at USBFS - $[ ] /day - At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] /hour ([ ] hour estimate) - Recurring (per feed) - $[ ] /month CUSIP Setup § Subsequent CUSIP Setup - $[ ] /CUSIP § Expedited CUSIP Setup - $[ ] /CUSIP (Less than [ ] days) Advisor’s Signature below acknowledges approval of the fee schedules on this Exhibit CC. BP CAPITAL FUND ADVISORS, LLC By: /s/ Txxx X. Xxxxxx Name: Txxx X. Xxxxxx

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN -FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application client dedicated line data access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, Excessive Trader, 12b-1 aging, investor email services, dealer reclaim services, shareholder performance statements, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Same Day Cash Management, Real Time Cash Flow, expedited CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (via MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F D (continued) to the Trust for Advised Portfolios - Transfer Agent Servicing Agreement Transfer Agent – Cxxx & Shareholder Services Supplemental Services – Bxxxx Funds Trust SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule COMMERCE SERVICES FEE SCHEDULE at AugustApril, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 2012 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 - $___/year XXXX/year § Per Record Charge − Rep/Branch/ID - $___ XXXX − Dealer - $___ XXXX § Price Files - $___/record XXXX/record or $___XXXX /user per month, whichever is less 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 - $___XXXX /event − Per broker ID - $___/month $ XXXX/month per ID § Transaction Processing (Minimum Monthly charge - $XXXX) − Implementation - $___/management XXXX/management company − Transaction – purchase, redeem, exchange, literature order - $___/event $ XXXX/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month XXXX/event Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − Develop eBusiness Solutions Software - $___/fund XXXX/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) − Code Print Software - $XXXX/fund group § Load charges − $___/image XXXX/image § Archive charge (for any image stored beyond 2 years) − $___$ XXXX /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § Report Source - Setup: $XXXX (Includes access to Fund Source) - Service: $XXXX /user per month § BDS – Statement Storage & Retrieval - Setup: $___ XXXX /user − Support- Service: $___ /user XXX/user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $___ /request XXXX/request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / XXXX/ hour consultation and development.) − Support- Service: $___ XXXX /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup- $XXXX one time setup fee - $XXX/file per month maintenance fee § Mail File (DDS mailbox in which clients can pull information): $XXX/file setup § TIP File Setup - Setup & Delivery of Standard TIP Files: $___one-time fee − SupportXXXX/request (Unlimited files per request) - Custom TIP File Development: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure XXXX/request (Includes up to allow for application accessibility to host systems 2 hours of programming. If beyond, additional time will be $XXXX/hour consultation and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screendevelopment.) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F D (continued) to the Trust for Advised Portfolios - Transfer Agent Servicing Agreement Transfer Agent – Cxxx & Shareholder Services Supplemental Services – Bxxxx Funds Trust SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule (continued) COMMERCE SERVICES FEE SCHEDULE at AugustApril, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required2012

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Cook & Bynum Funds Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. All Urban Consumers - U.S. City Average Fees are calculated pro rata and billed monthly. **Through October 16, 2016 only, a [ ]% waiver of the following fees for the Angel Oak High Yield Opportunities Fund: base fee for 1st CUSIP, additional CUSIP fee, and basis point fees. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Amended Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services – Angel Oak Funds Trust – Angel Oak Flexible Income Fund Supplemental Services – E-Commerce Services Fee Schedule – fees at AugustApril, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund [---]/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___[---] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund [---]/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year [---]/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ [---] /hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event [---]/event − Account Maintenance - $___/event [---]/event − Transaction – financial transactions, reorder statements, etc. - $___/event [---]/event − New Account Setup - $___/event [---]/event (Not available with FAN Web Select) § Strong Authentication: − $___/month [---]/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___[---] /year § Per Record Charge − Rep/Branch/ID - $___ [---] − Dealer - $___ [---] § Price Files - $___/record [---]/record or $___/user [---]/user per month, whichever is less Vision 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 - $___/event [---]/event − Per broker ID - $___/month [---]/month per ID § Transaction Processing − Implementation - $___/management [---]/management company − Transaction – purchase, redeem, exchange, literature order - $___/event [---]/event − New Account Setup – $___/event [---]/event − Monthly Minimum Charge - $___ [---] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund [---]/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image [---]/image § Archive charge (for any image stored beyond 2 years) − $___/document [---]/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Amended Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredAgreement

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Angel Oak Funds Trust)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). *Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement a closed account shall be charged in the month following the month during which such account is closed Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] per qualified plan account or Xxxxxxxxx ESA account (Cap at August, 2014 FAN Web $[ ] per SSN) § $[ ] per transfer to successor trustee § $[ ] per participant distribution (Excluding SWPs) § $[ ] per refund of excess contribution § $[ ] per reconversion/recharacterization Additional Shareholder internet Paid Fees § $[ ] per outgoing wire transfer or overnight delivery § $[ ] per telephone exchange § $[ ] per return check or ACH or stop payment § $[ ] per statement year requested per account (This fee applies to research requests for statements older than the prior year) CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $[ ] per CUSIP § Expedited CUSIP Setup – $[ ] per CUSIP (Less than [ ] days) Fund Characteristic Change § Fund Name Change – $[ ] per fund/ per change § Fund CUSIP Change – $[ ] per fund/ per change Digital Investor Shareholder account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing conduct financial transactions, and perform account maintenance activities. Electronic document delivery is also available as an adjunct service. Digital Investor includes user interface which caters to a full range of connected devices, including tablets and smart phones. The standard implementation comes with advanced authentication, eCommerce inspired workflows, and a base package of transaction and maintenance functionality. ▪ Digital Investor • Implementation – $[ ] per fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § [ ] per year Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request. ▪ Activity (Session) Fees: Inquiry - $___/event − [ ] per event • Login Challenge – $[ ] per event • Account Maintenance - $___/event − [ ] per event • Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − [ ] per event • New Account Setup - Set-up – $___/event (Not available with FAN Web Select) § Strong Authentication: − [ ] per event • Bank Verification Attempt – $___/month [ ] per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event event 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 - $___/year [ ] per year § Per Record Charge Rep/Branch/ID – $[ ] - Dealer – $___ − Dealer - $___ [ ] § Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker [ ] per event - Vision ID - $___/month [ ] per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − [ ] per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − [ ] per event - Monthly Minimum Charge - $___ /month Vision [ ] per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund [ ] per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$[ ] per image - Archive charge (for any image stored beyond 2 years) − $___/document [ ] years)-$ [ ] per document *Normal Vision ID and activity event charges also apply. Fund Source Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required[ ] per Month – Unlimited Users

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Needham Funds Inc)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement a closed account shall be charged in the month following the month during which such account is closed Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees ■ $15.00 per qualified plan account or Cxxxxxxxx ESA account (Cap at August, 2014 FAN Web $30.00 per SSN) ■ $25.00 per transfer to successor trustee ■ $25.00 per participant distribution (Excluding SWPs) ■ $25.00 per refund of excess contribution ■ $25.00 per reconversion/recharacterization Additional Shareholder internet Paid Fees ■ $15.00 per outgoing wire transfer or overnight delivery ■ $5.00 per telephone exchange ■ $25.00 per return check or ACH or stop payment ■ $10.00 per statement year requested per account (This fee applies to research requests for statements older than the prior year) CUSIP Setup ■ CUSIP Setup beyond the initial CUSIP – $1,500 per CUSIP ■ Expedited CUSIP Setup – $3,000 per CUSIP (Less than 35 days) Fund Characteristic Change ■ Fund Name Change – $500 per fund/ per change ■ Fund CUSIP Change – $500 per fund/ per change Digital Investor Shareholder account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, and perform account maintenance activities. Electronic document delivery is also available as an adjunct service. Digital Investor includes user interface which caters to a full range of connected devices, including tablets and smart phones. The standard implementation comes with advanced authentication, eCommerce inspired workflows, and a base package of transaction history, purchase additional shares through ACH, etcand maintenance functionality. § FAN Web Premium (Fund Groups over 50,000 open accounts) ■ Digital Investor − Implementation - $)___/fund 20,000 per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § 24,000 per year Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request. ■ Activity (Session) Fees: − Inquiry - $___/event 0.15 per event − Login Challenge – $0.10 per event − Account Maintenance - $___/event 0.25 per event − Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event 0.50 per event − New Account Setup - Set-up – $___/event (Not available with FAN Web Select) § Strong Authentication: 3 per event Bank Verification Attempt – $___/month 3 per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event event 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 - $___/year § 6,000 per year ■ Per Record Charge - Rep/Branch/ID – $.018 - Dealer – $___ − Dealer - $___ § 0.012 ■ Price Files - $___/record 0.002 per record or $___/user 1.75 per user per month, whichever is less Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − ■ Account inquiry - Inquiry - $___/event − Per broker 0.05 per event - Vision ID - $___/month 5.00 per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − 5,000 per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − 0.50 per event - Monthly Minimum Charge - $___ /month Vision 500 per month ■ Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund 5,000 per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$0.05 per image - Archive charge (for any image stored beyond 2 years) − $___/document *Normal years)-$0.015 per document * Vision ID and activity event charges also apply. Fund Source Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required250 per Month – Unlimited Users

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (North Capital Funds Trust)

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Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). *Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent a closed account shall be charged in the month following the month during which such account is closed. TRANSFER ANGENT & Shareholder Services Supplemental Services SHAREHOLDER SERVICES SPPLEMENTAL SERVICES E-Commerce Services Fee Schedule at August, 2014 E COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___15,000 /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___36,000 /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___5,000 /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___12,000 /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ 165 /hour § Activity (Session) Fees: − Inquiry - $___0.15 /event − Account Maintenance - $___0.25 /event − Transaction – financial transactions, reorder statements, etc. - $___0.50 /event − New Account Setup Set-up - $___3.00 /event (Not available with FAN Web Select) § Strong Authentication: − $___0.045 /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___6,000 /year § Per Record Charge − Rep/Branch/ID - $___ .018 − Dealer - $___ § 0.012 ▪ Price Files - $___/record 0.002 or $___1.75 /user per month, whichever is less 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 Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § − 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. TRANSFER ANGENT & SHAREHOLDER SERVICES SPPLEMENTAL SERVICES – E COMMERCE SERVICES FEE SCHEDULE 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 − Setup: $___ /user ReportSource – Mainframe T/A Report Library Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development T/A Imaging – Thin Client AWD Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) FundSource – Comprehensive Fund Information Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § 3270 – T/A Mainframe Access ▪ Custom Electronic File Exchange (DDS of delivery of standard TIP files) − Setup: - $___one-2,500 one time setup fee − Support: $___ 100 /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredfee

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Oaktree Diversified Income Fund Inc.)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services – Manager Directed Portfolios; Supplemental Services – E-Commerce Services Fee Schedule at AugustJuly, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund _ per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund _ per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Direct (API) – Quoted Separately § Customization - $____ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event _ per event − Account Maintenance - $___/event _ per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event _ per event − New Account Setup - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $____ per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $____ per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $____ per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $____ per year § Customization - $____ per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  _ per event Account Maintenance - $___/event  _ per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  _ per event − New Account Establishment Setup Set-up - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $____ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year _ per year § Per Record Charge − Rep/Branch/ID - $____ − Dealer - $____ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Vision Permits broker/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 - $___/event _ per event − Per broker ID - $___/month _ per month per ID § Transaction Processing − Implementation - $___/management _ per management company − Transaction – purchase, redeem, exchange, literature order - $___/event _ per event − New Account Setup – $___/event _ per event − Monthly Minimum Charge - $____ /month Vision Electronic Statements Provides the capability for financial intermediaries per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines; $___/fund group Lxxx Mxxxx 3 _ Per Month –Unlimited Users Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services – Manager Directed Portfolios ; Supplemental Services – E-Commerce Services Fee Schedule (continued) at AugustJuly, 2014 Vision Electronic Statements (Continued) § Load charges − 2016 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − - Setup: $___one-time fee − _ per user - Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon per user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required_ per user per month beyond 2 users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. monthly Exhibit F FF (continued) to the Trust for Advised Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustNovember, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) − Implementation - $)___[ ] /fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Select (Fund Groups under 50,000 [ ] open accounts) − Implementation - $___[ ] /fund group – includes up to 10 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ [ ] /hour § Activity (Session) Fees: − Inquiry - $___[ ] /event − Account Maintenance - $___[ ] /event − Transaction – financial transactions, reorder statements, etc. - $___[ ] /event − New Account Setup - $___[ ] /event (Not available with FAN Web Select) § Strong Authentication: − $___[ ] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ [ ] § Monthly Base Fee - $___ [ ] § Transaction Fees:  − - Inquiry - $___[ ] /event  − - Maintenance - $___[ ] /event  − - Transaction - $___[ ] /event  − - New Account Establishment Setup - $___[ ] /event 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 - $___[ ] /year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___[ ] /record or $___[ ] /user per month, whichever is less Vision 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 - $___[ ] /event − Per broker ID - $___[ ] /month per ID § Transaction Processing − Implementation - $___[ ] /management company − Transaction – purchase, redeem, exchange, literature order - $___[ ] /event − New Account Setup – $___[ ] /event − Monthly Minimum Charge - $___ [ ] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees $___[ ] /fund group Lxxx Mxxxx 3 Exhibit F FF (continued) to the Trust for Advised Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at AugustNovember, 2014 Vision Electronic Statements (Continued) § Load charges − $___[ ] /image § Archive charge (for any image stored beyond 2 [ ] years) − $___[ ] /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ [ ] /user - Support: $___ [ ] /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $___ [ ] /request (Includes up to 2 [ ] hours of programming. If beyond, additional time will be $___ [ ] / hour consultation and development.) - Support: $___ [ ] /file per month - Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___[ ] one-time fee - Support: $___ [ ] /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___[ ] implementation − $___ [ ] /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ [ ] implementation − $___ [ ] /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___[ ] implementation − $___ [ ] /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___[ ] implementation − $___ [ ] /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___[ ] implementation − $___ [ ] /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___[ ] implementation − $___ [ ] /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___[ ] /month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ [ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Rothschild 4 Exhibit FF (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at AugustNovember, 2014 Transfer Agent Training Services § On-site at USBFS - $___[ ] /day § At Client Location - $___[ ] /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. o $[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] setup /fund group § $[ ] /month administration § $[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[ ] /fund group per month Literature Fulfillment Services* § Account Management − $[ ] /month § Inbound Teleservicing Only − Account Management - $[ ] /month − Call Servicing - $[ ] /minute § Lead Conversion Reporting − $[ ] /month § Closed Loop Reporting − Account Management - $[ ] /month − Database Installation, Setup - $[ ] /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $[ ] /monthly report Exhibit FF (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at November, 2014 FAF Money Market Fund Service Organizations § $[ ] /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (Cap at $[ ] /request) (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F J (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustMay, 2014 2015 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open ­­____open accounts) − Implementation - $)­­____ /fund group – includes up to 25 ­­__ hours of technical/BSA support − Annual Base Fee - $­­____ /year § FAN Web Select (Fund Groups under 50,000 ­­__ open accounts) − Implementation - $­­____ /fund group – includes up to 10 ­­__ hours of technical/BSA support − Annual Base Fee - $­­____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $_­­__ /hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $­­____ /event − Account Maintenance - $­­____ /event − Transaction – financial transactions, reorder statements, etc. - $­­____ /event − New Account Setup - $­­____ /event (Not available with FAN Web Select) § Strong Authentication: − $­­____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $­­____ /year § Per Record Charge − Rep/Branch/ID - $_­­__ − Dealer - $_­­__ § Price Files - $­­____ /record or $­­____ /user per month, whichever is less Vision 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 - $­­____ /event − Per broker ID - $­­____ /month per ID § Transaction Processing − Implementation - $­­____ /management company − Transaction – purchase, redeem, exchange, literature order - $­­____ /event − New Account Setup – $­­____ /event − Monthly Minimum Charge - $_­­__ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $­­____ /fund group Lxxx Mxxxx 3 Vision Electronic Statements (Continued) § Load charges − ­­__ /image § Archive charge (for any image stored beyond 2 years) − ­­__ /document *Normal Vision ID and activity charges also apply. Exhibit F J (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at AugustMay, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. 2015 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $_­­__ /user - Support: $_­­__ /user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - ­­__ / user per month beyond 2 users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $_­­__ /request (Includes up to 2 hours of programming. If beyondper file - Custom coded data for recurring, additional time will be $_scheduled delivery: ­­__ / per hour consultation and development.) − programming development - Support: $_­­__ /file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $­­____ one-time fee - Support: $_­­__ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $­­____ implementation − $_­­__ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $_­­__ implementation − $_­­__ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $­­____ implementation − $_­­__ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $­­____ implementation − $_­­__ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $­­____ implementation − $_­­__ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $­­____ implementation − $_­­__ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $­­__ /month Programming Charges- (subject to change at prevailing rate of vendor) § ­­__/month Lxxx Mxxxx 4 _ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit F J (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at AugustMay, 2014 2015 Transfer Agent Training Services § On-site at USBFS - $­­____ /day § At Client Location - $­­____ /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § ­­__ direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § ­­__ setup /fund group § ­­__ /month administration § ­­__ /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § ­­__ /fund group per month Literature Fulfillment Services* § Account Management − ­­__ /month § Inbound Teleservicing Only − Account Management - ­­__ /month − Call Servicing - ­­__ /minute § Lead Source Reporting − ­­__ /month § Closed Loop Reporting − Account Management - ­­__ /month − Database Installation, Setup ­­__ /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Amended Exhibit F W (continued) to the Trust for Advised Portfolios Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustNovember, 2014 2016 CUSIP Setup CUSIP Setup beyond the initial CUSIP – $[…] per CUSIP Expedited CUSIP Setup – $[…] per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) Implementation - $)___/fund […] per fund group – includes up to 25 90 hours of technical/BSA support Annual Base Fee - $___/year § […] per year FAN Web Select (Fund Groups under 50,000 open accounts) Implementation - $___/fund […] per fund group – includes up to 10 45 hours of technical/BSA support Annual Base Fee - $___/year § FAN Web Direct […] per year Customization – $[…] per hour – (APIsubject to change at prevailing rates of vendor) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: Inquiry - $___/event − […] per event Account Maintenance - $___/event − […] per event Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − […] per event New Account Setup - Set-up – $___/event […] per event (Not available with FAN Web Select) § Strong Authentication: $___/month […] per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § […] per year Per Record Charge Rep/Branch/ID - $___ − […] Dealer - $___ § […] Price Files - $___/record […] per record or $___/user […] per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker […] per event - Vision ID - $___/month […] per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − […] per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − […] per event - Monthly Minimum Charge - $___ /month Vision […] per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund […] per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$[…] per image - Archive charge (for any image stored beyond 2 years) − $___/document years)-$[…] per document *Normal Vision ID and activity event charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F (continued) L to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustFebruary, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund _ per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund _ per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour 200 per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event _ per event − Account Maintenance - $___/event _ per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event _ per event − New Account Setup - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $___ per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $___ per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation __ per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - __ per year § Customization - __ per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  _ per event Account Maintenance - $___/event  _ per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  _ per event − New Account Establishment Setup Set-up - $__ per event (Not available with FAN Web Select) § Strong Authentication: − __/event _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year _ per year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $__ per record or __/record or $___/user _ per user per month, whichever is less Vision Permits broker/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 - $___/event _ per event − Per broker ID - $___/month _ per month per ID § Transaction Processing − Implementation - $___/management _ per management company − Transaction – purchase, redeem, exchange, literature order - $___/event _ per event − New Account Setup – $___/event _ per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries per month Fund Source –Client Access to access electronic statements via the Vision application.* § Implementation Fees − $audited fund information, pricing, performance, literature, processing guidelines___/fund group Lxxx Mxxxx 3 _ per Month - Unlimited Users Exhibit F (continued) L to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at AugustFebruary, 2014 Vision Electronic Statements (Continued) § Load charges − $2016 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - ___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user − per user - Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $_Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - __ /ID per user per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredbeyond 2 users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon and documented on the following services - Additional Services fee schedule: FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $15.00 per qualified plan account or Cxxxxxxxx ESA account (Cap at August, 2014 FAN Web $30.00 per SSN) § $25.00 per transfer to successor trustee § $25.00 per participant distribution (Excluding SWPs) § $25.00 per refund of excess contribution § $25.00 per reconversion/recharacterization Additional Shareholder internet Paid Fees § $15.00 per outgoing wire transfer or overnight delivery § $5.00 per telephone exchange § $25.00 per return check or ACH or stop payment § $10.00 per research request per account (This fee applies to requests for statements older than the prior year) CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $1,500 per CUSIP § Expedited CUSIP Setup – $3,000 per CUSIP (Less than 35 days) Fund Characteristic Change § Fund Name Change – $500 per fund/ per change § Fund CUSIP Change – $500 per fund/ per change Digital Investor Shareholder account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, and perform account maintenance activities. Electronic document delivery is also available as an adjunct service. Digital Investor includes user interface which caters to a full range of connected devices, including tablets and smart phones. The standard implementation comes with advanced authentication, eCommerce inspired workflows, and a base package of transaction history, purchase additional shares through ACH, etcand maintenance functionality. § FAN Web Premium (Fund Groups over 50,000 open accounts) Digital Investor − Implementation - $)___/fund 20,000 per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour 24,000 per year Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request. § Activity (Session) Fees: − Inquiry - $___/event 0.15 per event − Login Challenge – $0.10 per event − Account Maintenance - $___/event 0.25 per event − Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event 0.50 per event − New Account Setup - Set-up – $___/event (Not available with FAN Web Select) § Strong Authentication: 3 per event Bank Verification Attempt – $___/month 3 per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event event 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 - $___/year 6,000 per year § Per Record Charge - Rep/Branch/ID – $.018 - Dealer – $___ − Dealer - $___ 0.012 § Price Files - $___/record 0.002 per record or $___/user 1.75 per user per month, whichever is less Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker 0.05 per event - Vision ID - $___/month 5.00 per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − 2,500 per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − 0.50 per event - Monthly Minimum Charge - $___ /month Vision 500 per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund 2,500 per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$0.05 per image - Archive charge (for any image stored beyond 2 years) − $___/document years)-$0.015 per document *Normal Vision ID and activity event charges also apply. Fund Source Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required250 per Month – Unlimited Users

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Credit Unions)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Sxxxx Exhibit F P (continued) to the Trust for Advised Portfolios Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 2013 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___[…] /fund group – includes up to 25 […] hours of technical/BSA support − Annual Base Fee - $___[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___[…] /fund group – includes up to 10 […] hours of technical/BSA support − Annual Base Fee - $___[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ […] /hour § Activity (Session) Fees: − Inquiry - $___[…] /event − Account Maintenance - $___[…] /event − Transaction – financial transactions, reorder statements, etc. - $___[…] /event − New Account Setup - $___[…] /event (Not available with FAN Web Select) § Strong Authentication: − $___[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ […] § Monthly Base Fee - $___ […] § Transaction Fees:  − - Inquiry - $___[…] /event  − - Maintenance - $___[…] /event  − - Transaction - $___[…] /event  − - New Account Establishment Setup - $___[…] /event 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 - $___[…] /year § Per Record Charge − Rep/Branch/ID - $___ […] − Dealer - $___ […] § Price Files - $___[…] /record or $___[…] /user per month, whichever is less Vision 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 - $___[…] /event − Per broker ID - $___[…] /month per ID § Transaction Processing − Implementation - $___[…] /management company − Transaction – purchase, redeem, exchange, literature order - $___[…] /event − New Account Setup – $___[…] /event − Monthly Minimum Charge - $___ […] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___[…] /fund group Lxxx Mxxxx 3 Exhibit F P (continued) to the Trust for Advised Portfolios Managed Portfolio Series Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 2013 Vision Electronic Statements (Continued) § Load charges - $___[…] /image § Archive charge (for any image stored beyond 2 years) - $___[…] /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Advisor’s signature below acknowledges approval of the fee schedules on this Exhibit F C. By: Wxxxxxx Xxxxx & Company, L.L.C. Name: /s/ Rxxxxxx X. Xxxxx Title: COO Date: 10/29/14 Exhibit C (continued) to the Trust for Advised Portfolios Professional Managers Transfer Agent Servicing Agreement – Wxxxxxx Xxxxx and Company Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustOctober, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)____ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $____ /hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $____ − Dealer - $____ § Price Files - $____ /record or $____ /user per month, whichever is less Vision 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $____ /management company − Transaction – purchase, redeem, exchange, literature order - $____ /event − New Account Setup – $____ /event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required/month

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon and documented on the following services - Additional Services fee schedule: FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement a closed account shall be charged in the month following the month during which such account is closed Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule at AugustNovember, 2014 2017 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $___ per qualified plan account or Cxxxxxxxx ESA account (Cap at $___ per SSN) § $___ per transfer to successor trustee § $___ per participant distribution (Excluding SWPs) § $___ per refund of excess contribution § $___ per reconversion/recharacterization Additional Shareholder Paid Fees § $___ per outgoing wire transfer or overnight delivery § $___ per telephone exchange § $___ per return check or ACH or stop payment § $___ per research request per account (This fee applies to requests for statements older than the prior year) CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $___ per CUSIP § Expedited CUSIP Setup – $___ per CUSIP (Less than 35 days) Fund Characteristic Change § Fund Name Change – $___ per fund/ per change § Fund CUSIP Change – $___ per fund/ per change FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) - Implementation - $)___/fund _ per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) - Implementation - $___/fund _ per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) Quoted Separately § Customization - $___ /hour per year § Customization – $___ per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry - $___/event − _ per event - Account Maintenance - $___/event − _ per event - Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − _ per event - New Account Setup - Set-up – $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: - $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year _ per year § Per Record Charge - Rep/Branch/ID - $___ - Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $___ /month Vision per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund _ per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $charges-$___/image § _ per image - Archive charge (for any image stored beyond 2 years) − $years)-$ ___/document _ per document *Normal Vision ID and activity event charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Additional Services. Available but not included above are the following services - Expedited CUSIP setup, FAN Web shareholder e-commerce, Vision intermediary e-commerce, FAN Mail electronic data delivery, Vision intermediary sales reporting data warehouse, investor e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim mail services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI lead conversion reporting, sales reporting & 22c-2 reporting (MARS)12b-1 aging, electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Same Day Cash Flow System, and additional services mutually agreed uponShort-Term Trader reporting. Fees are billed monthly. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Advisor’s signature below acknowledges approval of the 5 fee schedules on this Amended Exhibit F C. By: Convergence Investment Partners Name: Title: Date: Amended Exhibit C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent Trust for Professional Managers – Convergence TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule COMMERCE SERVICES FEE SCHEDULE at AugustFebruary 1, 2014 2013 FAN Web WEB Shareholder internet access to account information and transaction capabilities through a hyperlink transparent link at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) – See Functionality Worksheet – Implementation - $___/fund group – includes up to 10 hours of technical/BSA support Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ _/hour § Activity (Session) Fees: Inquiry - $___/event Account Maintenance - $___/event Transaction – financial transactions, reorder statements, etc. - $___/event New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon at the following services - FAN Web time of the service being added. Digital Investor shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & Rule 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing, voluntary state withholdings and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement a closed account shall be charged in the month following the month during which such account is closed Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule at AugustJanuary 1, 2014 2020 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees ▪ $[ ] per qualified plan account or Xxxxxxxxx ESA account (Cap at $30.00 per SSN) ▪ $[ ] per transfer to successor trustee ▪ $[ ] per participant distribution (Excluding SWPs) ▪ $[ ] per refund of excess contribution ▪ $[ ] per reconversion/recharacterization Additional Shareholder Paid Fees ▪ $[ ] per outgoing wire transfer or overnight delivery ▪ $[ ] per telephone exchange ▪ $[ ] per return check or ACH or stop payment ▪ $[ ] per statement year requested per account (This fee applies to research requests for statements older than the prior year) CUSIP Setup ▪ CUSIP Setup beyond the initial CUSIP – $[ ] per CUSIP ▪ Expedited CUSIP Setup – $[ ] per CUSIP (Less than 35 days) Fund Characteristic Change ▪ Fund Name Change – $[ ] per fund/ per change ▪ Fund CUSIP Change – $[ ] per fund/ per change FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) Implementation - $)___/fund [ ] per fund group – includes up to 25 90 hours of technical/BSA support Annual Base Fee - $___/year § [ ] per year ▪ FAN Web Select (Fund Groups under 50,000 open accounts) Implementation - $___/fund [ ] per fund group – includes up to 10 45 hours of technical/BSA support Annual Base Fee - $___/year § FAN Web Direct [ ] per year ▪ Customization – $[ ] per hour – (APIsubject to change at prevailing rates of vendor) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: Inquiry - $___/event − [ ] per event – Account Maintenance - $___/event − [ ] per event – Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − [ ] per event – New Account Setup - Set-up – $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: $___/month [ ] per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § [ ] per year ▪ Per Record Charge Rep/Branch/ID - $___ − [ ] – Dealer - $___ § [ ] ▪ Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − ▪ Account inquiry – Inquiry - $___/event − Per broker [ ] per event – Vision ID - $___/month [ ] per month per ID § Transaction Processing − Processing* – Implementation Fee - $___/management company − [ ] per Management Company – Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup [ ] per event $___/event − Monthly Minimum Charge - $___ /month Vision [ ] per month ▪ Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − – Implementation- $___/fund [ ] per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § charges-$[ ] per image – Archive charge (for any image stored beyond 2 years) − $___/document years)-$[ ] per document *Normal Vision ID and activity event charges also apply. Fund Source Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user [ ] per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN Month Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredUnlimited Users

Appears in 1 contract

Samples: Trust for Professional Managers

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Execution Copy Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services E-Commerce Services Fee Schedule at AugustAugust 31, 2014 2015 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour [ ] /hour- (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___[ ] /event − Account Maintenance - $___[ ] /event − Transaction – financial transactions, reorder statements, etc. - $___[ ] /event − New Account Setup - $___[ ] /event (Not available with FAN Web Select) § Strong Authentication: − $___[ ] /month per active FAN Web ID (Any ID that has had activity within the 180-day [ ] -day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___[ ] /year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___[ ] /record or $___[ ] /user per month, whichever is less Vision 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 - $___[ ] /event − Per broker ID - $___[ ] /month per ID § Transaction Processing − Implementation - $___[ ] /management company − Transaction – purchase, redeem, exchange, literature order - $___[ ] /event − New Account Setup – $___[ ] /event − Monthly Minimum Charge - $___ [ ] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___[ ] /fund group Lxxx Mxxxx 3 Vision Electronic Statements § Load charges − $[ ] /image § Archive charge (for any image stored beyond [ ] years) − $[ ] /document *Normal Vision ID and activity charges also apply. Execution Copy Exhibit F E (continuedContinued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at AugustAugust 31, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. 2015 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ [ ] /user - Support: $___ [ ] /user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - $[ ] / user per month beyond [ ] users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyond[ ] per file - Custom coded data for recurring, additional time will be scheduled delivery: $___ / [ ] per hour consultation and development.) − programming development - Support: $___ [ ] /file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___[ ] one-time fee - Support: $___ [ ] /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___[ ] implementation − $___ [ ] /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ [ ] implementation − $___ [ ] /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___[ ] implementation − $___ [ ] /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___[ ] implementation − $___ [ ] /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___[ ] implementation − $___ [ ] /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___[ ] implementation − $___ [ ] /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___[ ] /month Lxxx Mxxxx 4 Exhibit F Programming Charges- (continuedsubject to change at prevailing rate of vendor) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ [ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Execution Copy Exhibit E (continued) to the Transfer Agent & Shareholder Services Supplemental Services Servicing Agreement – Fee Schedule at AugustAugust 31, 2014 2015 Transfer Agent Training Services § On-site at USBFS - $___[ ] /day § At Client Location - $___[ ] /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] setup /fund group § $[ ] /month administration § $[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[ ] /fund group per month Literature Fulfillment Services* § Account Management − $[ ] /month § Inbound Teleservicing Only − Account Management - $[ ] /month − Call Servicing - $[ ] /minute § Lead Source Reporting − $[ ] /month § Closed Loop Reporting − Account Management - $[ ] /month − Database Installation, Setup - $[ ] /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $[ ] /monthly report Execution Copy Exhibit E (continued) to the Transfer Agent Servicing Agreement - Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August 31, 2015 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Eagle Growth & Income Fund)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Amended Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement – Horizon Funds Transfer Agent & Shareholder Services Supplemental Services Fees Schedules – E-Commerce Services Fee Schedule at AugustNovember, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) − Implementation - $)___[ ] /fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Select (Fund Groups under 50,000 [ ] open accounts) − Implementation - $___[ ] /fund group – includes up to 10 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ [ ] /hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___[ ] /event − Account Maintenance - $___[ ] /event − Transaction – financial transactions, reorder statements, etc. - $___[ ] /event − New Account Setup - $___[ ] /event (Not available with FAN Web Select) § Strong Authentication: − $___[ ] /month per active FAN Web ID (Any ID that has had activity within the 180-day [ ]-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___[ ] /year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___[ ] /record or $___[ ] /user per month, whichever is less Vision 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 - $___[ ] /event − Per broker ID - $___[ ] /month per ID § Transaction Processing − Implementation - $___[ ] /management company − Transaction – purchase, redeem, exchange, literature order - $___[ ] /event − New Account Setup – $___[ ] /event − Monthly Minimum Charge - $___ [ ] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___[ ] /fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___[ ] /image § Archive charge (for any image stored beyond 2 [ ] years) − $___[ ] /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Amended Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) Fees at AugustNovember, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required2016

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Horizon Funds)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Amended Exhibit F B (continued) to the Trust for Advised Portfolios - Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule Fees at AugustJanuary, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) Implementation - $)____ /fund group - includes up to 25 hours of technical/BSA support Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) Implementation - $___/fund group - includes up to 10 hours of technical/BSA support Annual Base Fee - $____ /year § FAN Web Direct (API) - Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: Inquiry - $__ /event • Account Maintenance - __/event − Account Maintenance • Transaction - $___/event − Transaction – financial transactions, reorder statements, etc. - $____ /event New Account Setup - $___3.00 /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $____ /event  − Transaction - $____ /event  − New Account Establishment Setup - $____ /event 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 - $___/year § Per Record Charge Rep/Branch/ID - $___ Dealer - $___ § Price Files - $__ /record or__/record or $____ /user per month, whichever is less Vision 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 - $___/event − event • Per broker ID - $____ /month per ID § Transaction Processing Implementation - $___/management company Transaction - purchase, redeem, exchange, literature order - $____ /event New Account Setup – $- ____ /event Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required/month

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon and documented on the following services - Additional Services fee schedule FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). *Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule at AugustCharges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at including the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. following: Qualified Plan Fees § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity per qualified plan account or Cxxxxxxxx ESA account (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - Cap at $___ per SSN) § Monthly Base Fee - $___ per transfer to successor trustee § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - per participant distribution (Excluding SWPs) § $___ per refund of excess contribution § Price Files - $___/record or _ per reconversion/re-characterization Additional Shareholder Paid Fees § $___ per outgoing wire transfer or overnight delivery § $_/user __ per month, whichever is less telephone exchange § $___ per return check or ACH or stop payment § $___ per research request per account (This fee applies to requests for statements older than the prior year) CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $___ per CUSIP § Expedited CUSIP Setup – $___ per CUSIP (Less than 35 days) Fund Characteristic Change § Fund Name Change – $___ per fund/ per change § Fund CUSIP Change – $___ per fund/ per change Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $___ /month Vision per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund _ per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $charges-$___/image § _ per image - Archive charge (for any image stored beyond 2 years) − $years)-$ ___/document _ per document *Normal Vision ID and activity event charges also apply. Fund Source Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: - $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN Month Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredUnlimited Users

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Cushing Mutual Funds Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)FundSource, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Amended Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement – Westchester Capital Funds Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustJanuary 1, 2014 2018 CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $_ per CUSIP § Expedited CUSIP Setup – $_ per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) - Implementation - $)___/fund _ per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) - Implementation - $___/fund _ per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately _ per year § Customization - $___ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry – $_ per event - $___/event − Account Maintenance – $_ per event - $___/event − Transaction – financial transactions, reorder statementsduplicate statement requests, etc. – $_ per event - $___/event − New Account Setup - Set-up – $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: - $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year _ per year § Per Record Charge - Rep/Branch/ID – $_ - Dealer – $___ − Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month _ per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − _ per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − _ per event - Monthly Minimum Charge - $___ /month Vision per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund _ per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$_ per image - Archive charge (for any image stored beyond 2 years) − $___/document years)-$_ per document *Normal Vision ID and activity event charges also apply. FundSource Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required_ per Month – Unlimited Users

Appears in 1 contract

Samples: Agent Servicing Agreement (Westchester Capital Funds)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application client dedicated line data access, programming charges, outbound calling & marketing campaignstraining, trainingShort-Term Trader reporting, cost basis reporting, Excessive Trader, 12b-1 aging, investor email services, dealer reclaim services, shareholder performance statements, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Jumbo pricing, Same Day Cash Management, Real Time Cash Flow, expedited CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution solutions (eCONNECTeConnect), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Advisor’s Signature is not required at December 5, 2013 as the Transfer Agent fees are not changing. Amended Exhibit F CC (continued) to the Advisors Series Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule COMMERCE SERVICES FEE SCHEDULE at AugustJune, 2014 2012 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 ___ open accounts) − Implementation - $)____ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 ___ open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − - Inquiry - $____ /event  − - Maintenance - $____ /event  − - Transaction - $____ /event  − - New Account Establishment Setup - $____ /event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $____ /record or $____ /user per month, whichever is less 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $____ /management company − Transaction – purchase, redeem, exchange, literature order - $____ /event − New Account Setup – $____ /event Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Amended Exhibit F CC (continued) to the Advisors Series Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule (continued) COMMERCE SERVICES FEE SCHEDULE at AugustJune, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required2012

Appears in 1 contract

Samples: Advisors Series Trust (Advisors Series Trust)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon and documented on the following services - Additional Services fee schedule: FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. *In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). * Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Exhibit F U (continued) to the Trust for Advised Portfolios PMP Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustJanuary, 2014 2018 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) − Implementation - $)___/fund [ ] per fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___/year [ ] per year § FAN Web Select (Fund Groups under 50,000 [ ] open accounts) − Implementation - $___/fund [ ] per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year [ ] per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour [ ] per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event [ ] per event − Account Maintenance - $___/event [ ] per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event [ ] per event − New Account Setup - $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: − $___/month [ ] per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over [ ] open accounts) § Implementation Site Setup Fee - $___ [ ] per fund group – includes up to [ ] hours of technical/BSA support § Monthly Annual Base Fee - $___ [ ] per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $[ ] per fund group – includes up to [ ] hours of technical/BSA support − Annual Base Fee - $[ ] per year § Customization - $[ ] per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  [ ] per event Account Maintenance - $___/event  [ ] per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  [ ] per event − New Account Establishment Setup Set-up - $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: − $[ ] per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year 6,000 per year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Vision Permits broker/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 - $___/event [ ] per event − Per broker ID - $___/month [ ] per month per ID § Transaction Processing − Implementation - $___/management [ ] per management company − Transaction – purchase, redeem, exchange, literature order - $___/event [ ] per event − New Account Setup – $___/event [ ] per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries [ ] per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines. - $___/fund group Lxxx Mxxxx 3 [ ] per Month - Unlimited Users Exhibit F U (continued) to the Trust for Advised Portfolios PMP Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at AugustJanuary, 2014 Vision Electronic Statements (Continued) § Load charges − 2018 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. [ ] per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user − [ ] per user - Support: $___ /user [ ] per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $[ ] per user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredbeyond [ ] users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. FundX Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services E-Commerce Services Fee Schedule FundX Investment Trust Fees at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ]open accounts) − Implementation - $)___[ ] /fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Select (Fund Groups under 50,000 [ ]open accounts) − Implementation - $___[ ]/fund group – includes up to 10 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ]/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour [ ] /hour- (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___[ ]/event − Account Maintenance - $___[ ]/event − Transaction – financial transactions, reorder statements, etc. - $___[ ]/event − New Account Setup - $___[ ] /event (Not available with FAN Web Select) § Strong Authentication: − $___[ ] /month per active FAN Web ID (Any ID that has had activity within the 180-day [ ]-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___[ ] /year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___[ ]/record or $___[ ]/user per month, whichever is less Vision 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 - $___[ ] /event − Per broker ID - $___[ ] /month per ID § Transaction Processing − Implementation - $___[ ] /management company − Transaction – purchase, redeem, exchange, literature order - $___[ ] /event − New Account Setup – $___[ ] /event − Monthly Minimum Charge - $___ [ ] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___[ ] /fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___[ ] /image § Archive charge (for any image stored beyond 2 years) − $___[ ] /document *Normal Vision ID and activity charges also apply. FundX Exhibit D (continued) to the Transfer Agent Servicing Agreement – FundX Investment Trust Fees at August, 2014 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ [ ] /user - Support: $___ [ ] /user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - $[ ]/ user per month beyond [ ] users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyond[ ] per file - Custom coded data for recurring, additional time will be scheduled delivery: $___ / [ ] per hour consultation and development.) − programming development - Support: $___ [ ] /file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___[ ]one-time fee - Support: $___ [ ] /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___[ ] implementation − $___ [ ] /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ [ ] implementation − $___ [ ] /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___[ ] implementation − $___ [ ] /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___[ ] implementation − $___ [ ] /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___[ ] implementation − $___ [ ] /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___[ ] implementation − $___ [ ] /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___[ ] /month Lxxx Mxxxx 4 Exhibit F Programming Charges- (continuedsubject to change at prevailing rate of vendor) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ [ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. FundX Exhibit D (continued) to the Transfer Agent & Shareholder Services Supplemental Services Fee Schedule Servicing Agreement – FundX Investment Trust Fees at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___[ ] /day § At Client Location - $___[ ] /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] setup /fund group § $[ ] /month administration § $[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[ ] /fund group per month Literature Fulfillment Services* § Account Management − $[ ] /month § Inbound Teleservicing Only − Account Management - $[ ]/month − Call Servicing - $[ ]/minute § Lead Source Reporting − $[ ] /month § Closed Loop Reporting − Account Management - $[ ] /month − Database Installation, Setup - $[ ]/fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $[ ] /monthly report FundX Exhibit D (continued) to the Transfer Agent Servicing Agreement – FundX Investment Trust Fees at August, 2014 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ]/SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (FundX Investment Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ]open accounts) − Implementation - $)___[ ]/fund group – includes up to 25 [ ]hours of technical/BSA support − Annual Base Fee - $___[ ]/year § FAN Web Select (Fund Groups under 50,000 [ ]open accounts) − Implementation - $___[ ]/fund group – includes up to 10 [ ]hours of technical/BSA support − Annual Base Fee - $___[ ]/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ [ ]/hour § Activity (Session) Fees: − Inquiry - $___[ ]/event − Account Maintenance - $___[ ]/event − Transaction – financial transactions, reorder statements, etc. - $___[ ]/event − New Account Setup - $___[ ]/event (Not available with FAN Web Select) § Strong Authentication: − $___[ ]/month per active FAN Web ID (Any ID that has had activity within the 180-day [ ]-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § [ ] Monthly Base Fee - $___ § [ ] Transaction Fees:  − Inquiry - $___[ ]/event  − Maintenance - $___[ ]/event  − Transaction - $___[ ]/event  − New Account Establishment Setup - $___[ ]/event 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 - $___[ ]/year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ § [ ] Price Files - $___[ ]/record or $___[ ]/user per month, whichever is less Vision 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 - $___[ ]/event − Per broker ID - $___[ ]/month per ID § Transaction Processing − Implementation - $___[ ]/management company − Transaction – purchase, redeem, exchange, literature order - $___[ ]/event − New Account Setup – $___[ ]/event − Monthly Minimum Charge - $___ [ ]/month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___[ ]/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___[ ]/image § Archive charge (for any image stored beyond 2 [ ]years) − $___[ ]/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval Setup: $___ [ ]/user Support: $___ [ ]/user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development Setup: $___ [ ]/request (Includes up to 2 [ ]hours of programming. If beyond, additional time will be $___ [ ]/ hour consultation and development.) Support: $___ [ ]/file per month Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) Setup: $___[ ]one-time fee Support: $___ [ ]/file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___[ ]implementation − $___ [ ]/month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ [ ]implementation − $___ [ ]/ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___[ ]implementation − $___ [ ]/ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___[ ]implementation − $___ [ ]/ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___[ ]implementation − $___ [ ]/ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___[ ]implementation − $___ [ ]/ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___[ ]/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ [ ]/hour § Charges incurred for customized services based upon fund family requirements including but not limited to: Fund setup programming (transfer agent system, statements, options, etc.) Conversion programming Customized service development Voice response system setup (menu selections, shareholder system integration, testing, etc.) All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___[ ]/day § At Client Location - $___[ ]/day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. $[ ]/direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: $[ ]setup /fund group $[ ]/month administration $[ ]/received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. $[ ]/fund group per month Literature Fulfillment Services* Account Management − $[ ]/month Inbound Teleservicing Only − Account Management - $[ ]/month − Call Servicing - $[ ]/minute Lead Conversion Reporting − $[ ]/month Closed Loop Reporting − Account Management - $[ ]/month − Database Installation, Setup - $[ ]/fund group Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting

Appears in 1 contract

Samples: Fund Servicing Agreement (Advisor Managed Portfolios)

Additional Services. Available but Additional services not included above are shall be mutually agreed upon and documented on the following services - Additional Services fee schedule FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, Mutual Fund Profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. In addition to the fees described above, additional fees may be charged to the extent that changes to applicable laws, rules or regulations require additional work or expenses related to services provided (e.g., compliance with new liquidity risk management and reporting requirements). *Subject to annual CPI increase, Milwaukee MSA. increase – All Urban Consumers – U.S. City Average Fees are calculated pro rata and billed monthly. Exhibit F (continued) to The monthly fee for an open account shall be charged in the Trust month during which an account is opened through the month in which such account is closed. The monthly fee for Advised Portfolios Transfer Agent Servicing Agreement a closed account shall be charged in the month following the month during which such account is closed Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Additional Services Fee Schedule Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] per qualified plan account or Cxxxxxxxx ESA account (Cap at August, 2014 $[ ] per SSN) § $[ ] per transfer to successor trustee § $[ ] per participant distribution (Excluding SWPs) § $[ ] per refund of excess contribution § $[ ] per reconversion/re-characterization Additional Shareholder Paid Fees § $[ ] per outgoing wire transfer or overnight delivery § $[ ] per telephone exchange § $[ ] per return check or ACH or stop payment § $[ ] per research request per account (This fee applies to requests for statements older than the prior year) CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $[ ] per CUSIP § Expedited CUSIP Setup – $[ ] per CUSIP (Less than 35 days) Fund Characteristic Change § Fund Name Change – $[ ] per fund/ per change § Fund CUSIP Change – $[ ] per fund/ per change FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) - Implementation - $)___/fund [ ] per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year [ ] per year § FAN Web Select (Fund Groups under 50,000 open accounts) - Implementation - $___/fund [ ] per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately [ ] per year § Customization - $___ /hour [ ] per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry – $[ ] per event - $___/event − Account Maintenance – $[ ] per event - $___/event − Transaction – financial transactions, reorder statementsduplicate statement requests, etc. – $[ ] per event - $___/event − New Account Setup - Set-up – $___/event [ ] per event (Not available with FAN Web Select) § Strong Authentication: - $___/month [ ] per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year [ ] per year § Per Record Charge - Rep/Branch/ID – $[ ] - Dealer – $___ − Dealer - $___ [ ] § Price Files - $___/record [ ] per record or $___/user [ ] per user per month, whichever is less Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker [ ] per event - Vision ID - $___/month [ ] per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − [ ] per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − [ ] per event - Monthly Minimum Charge - $___ /month Vision [ ] per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund [ ] per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$[ ] per image - Archive charge (for any image stored beyond 2 years) − $___/document years)-$[ ] per document *Normal Vision ID and activity event charges also apply. Fund Source Client Web Data Access USBFS client on-line access to audited fund and investor data through USBFS technology applications and data delivery and security softwareinformation, pricing, performance, literature, processing guidelines. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required[ ] per Month – Unlimited Users

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (FQF Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent – Manager Directed Portfolios -Supplemental Services & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustJuly, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund _ per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund _ per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Direct (API) – Quoted Separately § Customization - $____ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event _ per event − Account Maintenance - $___/event _ per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event _ per event − New Account Setup - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $____ per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $____ per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $____ per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $____ per year § Customization - $____ per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  _ per event Account Maintenance - $___/event  _ per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  _ per event − New Account Establishment Setup Set-up - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $____ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year _ per year § Per Record Charge − Rep/Branch/ID - $____ − Dealer - $____ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Vision Permits broker/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 - $___/event _ per event − Per broker ID - $___/month _ per month per ID § Transaction Processing − Implementation - $___/management _ per management company − Transaction – purchase, redeem, exchange, literature order - $___/event _ per event − New Account Setup – $___/event _ per event − Monthly Minimum Charge - $____ /month Vision Electronic Statements Provides the capability for financial intermediaries per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines. - $___/fund group Lxxx Mxxxx 3 _ per Month - Unlimited Users Exhibit F C (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services – Manager Directed Portfolios; Supplemental Services & E-Commerce Services Fee Schedule (continued) at AugustJuly, 2014 Vision Electronic Statements (Continued) § Load charges − 2016 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − - Setup: $___one-time fee − _ per user - Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon per user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required_ per user per month beyond 2 users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___36,000 /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ 200 /hour § – (subject to change at prevailing rates of vendor) ◾ Activity (Session) Fees: Inquiry - $___0.15 /event Account Maintenance - $___0.25 /event Transaction – financial transactions, reorder statements, etc. - $___0.50 /event New Account Setup - $___3.00 /event (Not available with FAN Web Select) § Strong Authentication: $___0.045 /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___6,000 /year § Per Record Charge Rep/Branch/ID - $___ − .018 – Dealer - $___ § 0.012 ◾ Price Files - $___0.002 /record or $___1.75 /user per month, whichever is less Vision 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 $___5,000 /fund group Lxxx Mxxxx 3 Vision Electronic Statements ◾ 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 F E (continuedContinued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval Setup: $___ 250 /user Support: $___ 100 /user per month ◾ ReportSource – Report and Data File Storage & Retrieval – Setup: Included in intial fund setup on Transfer Agent system – $200/ user per month beyond 2 users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup– Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyond300 per file – Custom coded data for recurring, additional time will be scheduled delivery: $___ / 165 per hour consultation and development.) − programming development – Support: $___ 100 /file per month − Files can be – Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) Setup: $___2,500 one-time fee Support: $___ 100 /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers $___1,500 implementation $___ 500 /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. $___ 500 implementation $___ 200 /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. $___2,500 implementation $___ 350 /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. $___1,000 implementation $___ 200 /ID per month § Automated Work Distributor (AWD) – Image and workflow application. $___13,500 implementation $___ 400 /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. $___1,500 implementation $___ 200 /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. $___3,000 /month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § – (subject to change at prevailing rate of vendor) ◾ $___ 200 /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: Fund setup programming (transfer agent system, statements, options, etc.) Conversion programming Customized service development Voice response system setup (menu selections, shareholder system integration, testing, etc.) All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit E (continued) to the Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Servicing Agreement Transfer Agent Training Services § On-site at USBFS - $___1,500 /day § At Client Location - $___2,500 /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting - Annual reporting of shareholder cost basis for non-fiduciary direct accounts. ◾ $1.00 /direct open account per year Contact Center Call Servicing - Services to answer shareholder calls through a dedicated toll-free number. ◾ $1,500 /month ◾ 1.50 /minute/Shareholder Call ◾ $0.40 Voice Response Calls ◾ Plus Miscellaneous Charges related to toll-free lines, call transfers, etc. Email Services - Services to capture, queue, monitor, service and archive shareholder email correspondence: ◾ $1,500 setup /fund group ◾ $500 /month administration ◾ $5.00 /received email correspondence Dealer Reclaim Services - Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. ◾ $1,000 /fund group per month Literature Fulfillment Services* ◾ Account Management – $300 /month ◾ Inbound Teleservicing Only – Account Management – $250 /month – Call Servicing – $1.25 /minute ◾ Lead Source Reporting – $250 /month ◾ Closed Loop Reporting – Account Management – $500 /month – Database Installation, Setup – $1,500 /fund group ◾ Miscellaneous Expenses – Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting - Integrated custom detailed call reporting $250 /monthly report Exhibit E (continued) to the Transfer Agent Servicing Agreement Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees ◾ $15.00 /qualified plan account or Xxxxxxxxx ESA account (Cap at $30.00 /SSN) ◾ $25.00 /transfer to successor trustee ◾ $25.00 /refund of excess contribution Additional Shareholder Paid Fees ◾ $15.00 /outgoing wire transfer or overnight delivery ◾ $5.00 /telephone exchange ◾ $25.00 /return check or ACH or stop payment ◾ $10.00 /research request per account (This fee applies to requests for statements older than the prior year) Physical Certificate Processing - Services to support the setup and processing of physical certificated shares for a fund family: ◾ $750 setup/fund group ◾ $10.00 /certificate transaction Real Time Cash Flow ◾ Implementation (one time charge) & Recurring Charges (monthly) – 5 Users – $3,750 – 10 Users – $6,375 – 20 Users – $10,500 – 30 Users – $12,375 – 40 Users – $13,500 – 50 Users – $15,000 ◾ Training – WebEx – $500 /user – On Site at USBFS – $1,500 /day – At Client Location – $2,500 /day plus travel and out-of-pocket expenses if required ◾ Real Time Data Feeds – Implementation (per feed) – $225 /hour (8 hour estimate) – Recurring (per feed) – $375 /month Recurring per Image Storage Fee Quantity Rate Total 1MM images $5,000 $5,000 $5,000 Exhibit E (continued) to the Transfer Agent Agreement MARS Lite Fee Schedule MARS v7i Product and Services MARS System Setup and Implementation Fees One-time fee One-time Cost System Implementation Cost – Historical Sales and Compliance and Contact Data from DST TA2000 or up to 2 years of data for MARS Lite. $ 25,000 *$10,000 *$10,000 Standard MARS Interface $ 2,500 Omni/SERV Interface Setup $ 1,800 MARS Omni\SERV Module Setup Fee $ 2,500 MARS Training per Day $ 2,500 Data Conversion Schwab – Historical sales from Schwab for up to 2 years of sales history $ 2,500 Data Conversion Fidelity – Historical sales from Fidelity for up to 2 years of sales history. $ 2,500 Data Conversion TD Ameritrade – Historical sales from TD Ameritrade for up to 2 vears of sales history. $ 2,500 Data Conversion DataLynx – Historical sales from DataLynx for up to 2 years of sales history. $ 2,500 Custom Data lnterfaceSetup Cost per interface Number of interfaces $ 7,500 Total One-time Cost: *$10,000 one-time Cost MARS v7i Product and Services MARS System Setup and Implementation Fees Monthly Cost MARS Lite Sales & Compliance Modules1 $ 7,500 $ 10,000 *$6,000 *$6,000 Notes: 1. MARS Lite includes Schwab, Fidelity and OmniServ Interfaces. Does not provide user access or CRM functionality. Total Monthly Cost: *$6,000 Where the price is marked with a “*” this is a discounted price if signed by 12/31/2014 Exhibit E to the Sub-Transfer Agent Servicing Agreement Supplemental Services Electronic Form Delivery and Signature Capture – Setup Fee Implementation – $1,000.00 (includes 15 forms) – Additional Setup $75.00 for each additional form and email template – Transaction Fee o $6.00 per electronic envelope, and o Monthly minimum charge – $100.00 – Form and Fund Logo Modifications o $75.00 per Form o Updated Fund Logo – $100.00 Privacy Policy Delivery Setup Task Quantity Rate Total Privacy Policy Delivery Setup 1 $500.00 $500.00

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Carillon Series Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Advisor’s Signature below acknowledges approval of the Transfer Agent fee schedules on this Exhibit F H. Xxxxxxxx Group Advisors, LLC By: /s/Bxxxx Xxxxxxxxx Printed Name and Title: Bxxxx Xxxxxxxxx, Managing Partner Date: 10-21-16 Highmore 3 Exhibit H (continued) to the Series Portfolios Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustOctober, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund _ per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund _ per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event _ per event − Account Maintenance - $___/event _ per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event _ per event − New Account Setup - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $___ per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $___ per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $___ per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $___ per year § Customization - $___ per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  _ per event Account Maintenance - $___/event  _ per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  _ per event − New Account Establishment Setup Set-up - $___ per event (Not available with FAN Web Select) § Strong Authentication: − $_/event __ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year _ per year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Highmore 4 Exhibit H (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at October, 2016 Vision Permits broker/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 - $___/event _ per event − Per broker ID - $___/month _ per month per ID § Transaction Processing − Implementation - $___/management _ per management company − Transaction – purchase, redeem, exchange, literature order - $___/event _ per event − New Account Setup – $___/event _ per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines. - $___/fund group Lxxx Mxxxx 3 _ per Month - Unlimited Users Highmore 5 Exhibit F H (continued) to the Series Portfolios Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at AugustOctober, 2014 Vision Electronic Statements (Continued) § Load charges − 2016 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user − per user - Support: $___ /user per user per month Additional § ReportSource – Report and Data Delivery Services § Ad Hoc/ PowerSelect File Development − Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per user per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery beyond 2 users included as part of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredsetup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data accessaccess (MFx Portal), recordkeeping application client dedicated line data access, programming charges, outbound calling & marketing campaignstraining, trainingShort-Term Trader reporting, cost basis reporting, Excessive Trader, 12b-1 aging, investor email e-mail services, dealer reclaim services, literature fulfillmentshareholder performance statements, Same Day Cash Flow System, money market fund service organizations, charges paid by investors, literature fulfillment, physical certificate processing, Real Time Cash FlowJumbo pricing, expedited CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Advisor’s signature below acknowledges approval of the fee schedules on this Exhibit F C. By: Rockefeller & Co., Inc Name: /s/ Dxxxx Xxxxxxxxx Title: Dxxxx Xxxxxxxxx, Chief Financial Officer Date: November 30, 2013 Exhibit C (continued) to the Trust for Advised Portfolios Professional Managers Transfer Agent Servicing Agreement Transfer Agent – Rockefeller & Shareholder Services Supplemental Services – Co TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-Commerce Services Fee Schedule at August, 2014 COMMERCE SERVICES FEE SCHEDULE AT OCTOBER 2013 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup Set-up - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record _ or $____ /user per month, whichever is less 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $____ /management company − Transaction – purchase, redeem, exchange, literature order - $____ /event − New Account Setup – $____ /event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − Develop eBusiness Solutions Software - $____ /fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) − Code Print Software - $___ /fund group § Load charges − $____ /image § Archive charge (for any image stored beyond 2 years) − $____ /document ** Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F C (continued) to the Trust for Advised Portfolios Professional Managers Transfer Agent Servicing Agreement Transfer Agent – Rockefeller & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges Co TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE AT OCTOBER 2013 FAF Money Market Fund Service Organizations § $___ /hour /money market share class per year § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and outOut-of-pocket expenses if required(see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $___ /qualified plan account or Cxxxxxxxx ESA account (Cap at $___ /SSN) § $___ /transfer to successor trustee § $___ /participant distribution (Excluding SWPs) § $___ /refund of excess contribution § $___ /reconversion/recharacterization Additional Shareholder Paid Fees § $___ /outgoing wire transfer or overnight delivery § $___ /telephone exchange § $___ /return check or ACH or stop payment § $___ /research request per account (Cap at $___ /request) (This fee applies to requests for statements older than the prior year) Literature Fulfillment Services* § Account Management − $___ /month (account management, lead reporting and database administration) § Out-of-Pocket Expenses − Kit and order processing expenses, postage, and printing § Inbound Teleservicing Only − Account Management - $___ /month − Call Servicing - $___ /minute § Lead Conversion Reporting (Closed Loop) − Account Management- $___ /month − Database Installation, Setup -$___ /fund group − Specialized Programming - (Separate Quote)* *Fees exclude postage and printing charges.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data accessaccess (MFx Portal), recordkeeping application client dedicated line data access, programming charges, outbound calling & marketing campaignstraining, trainingShort-Term Trader reporting, cost basis reporting, Excessive Trader, 12b-1 aging, investor email e-mail services, dealer reclaim services, literature fulfillmentshareholder performance statements, Same Day Cash Flow System, money market fund service organizations, charges paid by investors, literature fulfillment, physical certificate processing, Real Time Cash FlowJumbo pricing, expedited CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Advisor’s signature below acknowledges approval of the five (5) fee schedules on this Exhibit F C. By: Phase Capital L.P. Name: ________________________________ Title: ________________________________ Date: ________________________________ Phase 4/2012 Exhibit C (continued) to the Trust for Advised Portfolios Professional Managers Transfer Agent Servicing Agreement Transfer Agent TRANSFER AGENT & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule SHAREHOLDER SERVICES ACCOUNT SERVICES FEES at AugustApril, 2014 2012 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)____ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $____ /hour § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup Set-up - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $____ − Dealer - $____ § Price Files - $___/record _ or $____ /user per month, whichever is less 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $____ /management company − Transaction – purchase, redeem, exchange, literature order - $____ /event − New Account Setup – $____ /event − Monthly Minimum Charge - $____ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − Develop eBusiness Solutions Software - $____ /fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) − Code Print Software - $____ /fund group § Load charges − $____ /image § Archive charge (for any image stored beyond 2 years) − $____ /document *Normal Vision ID and activity charges also apply. Phase 4/2012 TRANSFER AGENT & SHAREHOLDER SERVICES - Phase SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE at April, 2012 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: MFx Portal - $____ /user − Support: § Service - $____ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − SetupAccess to the following systems included: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation - BDS – Statement Storage and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Retrieval - ReportSource – Mainframe T/A Report Source. Library - T/A Imaging – Thin Client AWD - FundSource – Comprehensive Fund Information - 3270 – T/A Mainframe Access § Custom Electronic File Exchange (DDS of delivery of standard TIP files) − Setup: - $___one-_ one time setup fee − Support: - $____ /file per month Recordkeeping Application maintenance fee 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: § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month /year per workstation for TA2000 AWD access § Physical Network – Infrastructure to allow for application accessibility to host systems Plus data communications setup and file transfers − Cost varies depending monthly charges based upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – EPlus training billed at hourly rates plus out-Commerce Services Fee Schedule (continued) at August, 2014 of-pocket expenses Programming Charges § $____ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Select reports – shareholder system queries for customized reporting, mailings, etc. - File transmissions of client requested shareholder data file extracts - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $____ /day § At Client Location client location - $____ /day plus travel and out-of-pocket expenses if requiredPhase 4/2012 TRANSFER AGENT & SHAREHOLDER SERVICES - Phase SUPPLEMENTAL SERVICES - FEE SCHEDULE at April, 2012

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *upon Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F C (continued) to the Series Portfolios Trust for Advised Portfolios - Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule Fees at AugustSeptember, 2014 2015 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund 15,000 per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year 36,000 per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund 5,000 per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year 12,000 per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour 200 per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event 0.15 per event − Account Maintenance - $___/event 0.25 per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event 0.50 per event − New Account Setup - $___/event 3.00 per event (Not available with FAN Web Select) § Strong Authentication: − $___/month 0.045 per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $___ 25,000 per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $___ 39,000 per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $12,000per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $15,000 per year § Customization - $200 per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  0.15 per event Account Maintenance - $___/event  0.25 per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  0.50 per event − New Account Establishment Setup Set-up - $___/event 3.00 per event (Not available with FAN Web Select) § Strong Authentication: − $0.045 per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year 6,000 per year § Per Record Charge − Rep/Branch/ID - $___ .018 − Dealer - $___ 0.012 § Price Files - $___/record 0.002 per record or $___/user 1.75 per user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredless

Appears in 1 contract

Samples: Series Portfolios Trust

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F (continued) to the Series Portfolios Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustJuly, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund _ per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund _ per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event _ per event − Account Maintenance - $___/event _ per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event _ per event − New Account Setup - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $___ per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $__ per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $__ per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $__ per year § Transaction Customization - $__ per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  _ per event Account Maintenance - $___/event  _ per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  _ per event − New Account Establishment Setup Set-up - $__ per event (Not available with FAN Web Select) § Strong Authentication: − $__/event _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year _ per year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Exhibit F (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at July, 2016 Vision Permits broker/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 - $___/event _ per event − Per broker ID - $___/month _ per month per ID § Transaction Processing − Implementation - $___/management _ per management company − Transaction – purchase, redeem, exchange, literature order - $___/event _ per event − New Account Setup – $___/event _ per event − Monthly Minimum Charge - $__ per month Fund Source – Client Access to audited fund information, pricing, performance, literature, processing guidelines. - $__ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 per Month - Unlimited Users Exhibit F (continued) to the Series Portfolios Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at AugustJuly, 2014 Vision Electronic Statements (Continued) § Load charges − 2016 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user − per user - Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) ReportSource Account inquiry Report and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Data File Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required_ per user per month beyond 2 users included as part of setup

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F DD (continued) to the Trust for Advised Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 November 2013 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) − Implementation - $)___[ ] /fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Select (Fund Groups under 50,000 [ ] open accounts) − Implementation - $___[ ] /fund group – includes up to 10 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ [ ] /hour § Activity (Session) Fees: − Inquiry - $___[ ] /event − Account Maintenance - $___[ ] /event − Transaction – financial transactions, reorder statements, etc. - $___[ ] /event − New Account Setup - $___[ ] /event (Not available with FAN Web Select) § Strong Authentication: − $___[ ] /month per active FAN Web ID (Any ID that has had activity within the 180-day [ ]-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ [ ] § Monthly Base Fee - $___ [ ] § Transaction Fees:  − - Inquiry - $___[ ] /event  − - Maintenance - $___[ ] /event  − - Transaction - $___[ ] /event  − - New Account Establishment Setup - $___[ ] /event 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 - $___[ ] /year § Per Record Charge − Rep/Branch/ID - $___ – [ ] − Dealer - $___ [ ] § Price Files - $___[ ] /record or $___[ ] /user per month, whichever is less Vision 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 - $___[ ] /event − Per broker ID - $___[ ] /month per ID § Transaction Processing − Implementation - $___[ ] /management company − Transaction – purchase, redeem, exchange, literature order - $___[ ] /event − New Account Setup – $___[ ] /event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required[ ] /month

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustOctober, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 ­­__ open accounts) − Implementation - $)­­____ /fund group – includes up to 25 ­­__ hours of technical/BSA support − Annual Base Fee - $­­____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $­­____ /fund group – includes up to 10 ­­__ hours of technical/BSA support − Annual Base Fee - $­­____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $_­­__ /hour § Activity (Session) Fees: − Inquiry - $­­____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − - Inquiry - $___/event  − - Maintenance - $___/event  − - Transaction - $___/event  − - New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − Per broker ID - $___/month per ID § Transaction Processing − Implementation - $___/management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $___/event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at AugustOctober, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user - Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $___ v /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) - Support: $___ /file per month - Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___one-time fee - Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $____ implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at AugustOctober, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at AugustOctober, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $__/direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $__setup /fund group § $__/month administration § $__/received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $__/fund group per month Literature Fulfillment Services* § Account Management − $__ /month § Inbound Teleservicing Only − Account Management - $__ /month − Call Servicing - $__/minute § Lead Conversion Reporting − $__0 /month § Closed Loop Reporting − Account Management - $__/month − Database Installation, Setup - $__/fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $__ /monthly report Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at October, 2014 FAF Money Market Fund Service Organizations § $__/money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $__/qualified plan account or Cxxxxxxxx ESA account (Cap at $__/SSN) § $__/transfer to successor trustee § $__ /participant distribution (Excluding SWPs) § $__/refund of excess contribution § $__/reconversion/recharacterization Additional Shareholder Paid Fees § $__/outgoing wire transfer or overnight delivery § $__/telephone exchange § $__ /return check or ACH or stop payment § $__/research request per account (Cap at $__/request) (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Advised Portfolios)

Additional Services. Above pricing is for standard services. Available but not included above are the following services - FAN Web shareholder e-commerce, Vision intermediary e-commerce, FAN Mail electronic data delivery, Vision intermediary B.O.S.S. sales reporting data warehouse, investor e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim mail services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI lead conversion reporting, sales reporting & 22c-2 reporting (MARS)12b-1 aging, electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Short-Term Trader reportingT Fees are calculated pro rata and billed monthlymonthly in arrears. Amended Exhibit F B (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent Hotchkis and Wiley Funds TRANSFER AGENT & Shareholder Services Supplemental Services SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - FEE SCHEDULE at June, 2015 VISION MUTUAL FUND GATEWAY E-Commerce Services Fee Schedule at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $___/event − Account Maintenance - $___/event − Transaction – financial transactions, reorder statements, etc. - $___/event − New Account Setup - $___/event (Not available with FAN Web Select) § Strong Authentication: − $___/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___/event − [ ] per event · Per broker ID - $___/month [ ] per month per ID § · Transaction Processing · Implementation - $___/management [ ] per management company · Transaction – purchase, redeem, exchange, literature order - $___/event − [ ] per event · New Account Setup Set-up may contain multiple fund/accounts - $___/event − [ ] per event · Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries [ ] per month Short-Term Trader – Software application used to access electronic statements via the Vision application.* § Implementation Fees − 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 – $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) [ ] /open account · [ ] -[ ] days – $[ ] /open account · [ ] -[ ] days – $[ ] /open account · [ ] days – [ ] year - $[ ] /open account · [ ] year – [ ] years - $[ ] /open account Dealer Reclaim Services – Services reclaim fund losses due to the Trust pricing differences for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. · $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to [ ] per fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user group per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time Charges Paid by Investors – Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees · $___ / hour consultation and development.[ ] /qualified plan acct (Cap at $[ ] /SSN) − Support: · $___ /file [ ] /Cxxxxxxxx ESA acct (Cap at $[ ] /SSN) · $[ ] /transfer to successor trustee · $[ ] /participant distribution (Excluding SWPs) · $[ ] /refund of excess contribution · $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees · $[ ] /outgoing wire transfer · $[ ] /overnight delivery · $[ ] /telephone exchange · $[ ] /return check or ACH · $[ ] /stop payment · $[ ] /research request per month − Files can be scheduled account/SSN/item, for delivery via Report Source. § Custom Electronic File Exchange items [ ] years or older (DDS delivery of standard TIP filesCapped at $[ ] /item) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: · Fund setup programming (transfer agent system, statements, options, etc.) – estimate [ ] hours per Cusip · Select reports – shareholder system queries for customized reporting, mailings, etc. · File transmissions of client requested shareholder data file extracts · Conversion programming · Customized service development · Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at [ ] hours per fund family · All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Amended Exhibit D to the Transfer Agent Servicing Agreement – Hotchkis & Shareholder Wiley Funds Support Services Supplemental Services and Fees of MARS at June, 2015 MARS Fee Schedule at August, 2014 Transfer Agent Training MARS v7i Product and Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredMonthly Cost MARS Sales Reporting Module1 $ [ ] MARS Compliance Module2 $ [ ] $ [ ] MARS Sales & Compliance Modules3 $ [ ] Notes:

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Hotchkis & Wiley Funds /De/)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), Fund Source, EConnect Delivery, Shareholder Call review analysis, marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease - All Urban Consumers - U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F E (continued) to the Series Portfolios Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustMay, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund _ per fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund _ per fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year _ per year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event _ per event − Account Maintenance - $___/event _ per event − Transaction – financial Financial transactions, reorder statements, etc. - $___/event _ per event − New Account Setup - $___/event _ per event (Not available with FAN Web Select) § Strong Authentication: − $___/month _ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Web- Responsive Design (includes Mobile Access to Access) Shareholder account information and transaction capabilities access through mobile internet devicesthe internet. Shareholders can securely access portfolio summaryaccount information, account balances, account historyconduct financial transactions, and conduct financial transaction requests such perform account maintenance activities. Electronic document delivery is also available as purchasesan adjunct service. This version of FAN Web has a completely redesigned, redemptionsmodern user interface which caters to a full range of connected devices, including tablets and exchangessmart phones. § Initial FAN Web Premium (Fund Groups over 50,000 open accounts) § Implementation Site Setup Fee - $___ per fund group – includes up to 90 hours of technical/BSA support § Monthly Annual Base Fee - $___ per year § Transaction FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation – $___ per fund group – includes up to 45 hours of technical/BSA support − Annual Base Fee - $___ per year § Customization - $___ per hour - (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___/event  _ per event Account Maintenance - $___/event  _ per event − Transaction – financial transactions, duplicate statement requests, etc. - $___/event  _ per event − New Account Establishment Setup Set-up - $___ per event (Not available with FAN Web Select) § Strong Authentication: − $_/event __ per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/broker dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $___/year _ per year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record _ per record or $___/user _ per user per month, whichever is less Exhibit E (continued) to the Series Portfolios Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at May, 2016 Vision Permits broker/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 - $___/event _ per event − Per broker ID - $___/month _ per month per ID § Transaction Processing − Implementation - $___/management _ per management company − Transaction – purchase, redeem, exchange, literature order - $___/event _ per event − New Account Setup – $___/event _ per event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries per month Fund Source – Client Access to access electronic statements via the Vision application.* § Implementation Fees − audited fund information, pricing, performance, literature, processing guidelines. - $___/fund group Lxxx Mxxxx 3 _ per Month - Unlimited Users Exhibit F E (continued) to the Series Portfolios Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at AugustMay, 2014 Vision Electronic Statements (Continued) § Load charges − 2016 eConnect – Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. - $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. _ per Email Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user − per user - Support: $___ /user per user per month Additional § ReportSource – Report and Data Delivery Services § Ad Hoc/ PowerSelect File Development − Storage & Retrieval - Setup: Included in initial fund setup on Transfer Agent system - $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per user per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery beyond 2 users included as part of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if requiredsetup

Appears in 1 contract

Samples: Agent Servicing Agreement (Series Portfolios Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F GG (continued) to the Trust for Advised Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at AugustJuly, 2014 2015 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 [ ] open accounts) − Implementation - $)___[ ] /fund group – includes up to 25 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Select (Fund Groups under 50,000 [ ] open accounts) − Implementation - $___[ ] /fund group – includes up to 10 [ ] hours of technical/BSA support − Annual Base Fee - $___[ ] /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ [ ] /hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $___[ ] /event − Account Maintenance - $___[ ] /event − Transaction – financial transactions, reorder statements, etc. - $___[ ] /event − New Account Setup - $___[ ] /event (Not available with FAN Web Select) § Strong Authentication: − $___[ ] /month per active FAN Web ID (Any ID that has had activity within the 180-day [ ]-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___[ ] /year § Per Record Charge − Rep/Branch/ID - $___ [ ] − Dealer - $___ [ ] § Price Files - $___[ ] /record or $___[ ] /user per month, whichever is less Vision 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 - $___[ ] /event − Per broker ID - $___[ ] /month per ID § Transaction Processing − Implementation - $___[ ] /management company − Transaction – purchase, redeem, exchange, literature order - $___[ ] /event − New Account Setup – $___[ ] /event − Monthly Minimum Charge - $___ [ ] /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___[ ] /fund group Lxxx Mxxxx 3 Vision Electronic Statements (Continued) § Load charges − $[ ] /image § Archive charge (for any image stored beyond [ ] years) − $[ ] /document *Normal Vision ID and activity charges also apply. Exhibit F GG (continued) to the Trust for Advised Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at AugustJuly, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. 2015 Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ [ ] /user - Support: $___ [ ] /user per month § ReportSource – Report and Data File Storage & Retrieval - Setup: Included in intial fund setup on Transfer Agent system - $[ ]/ user per month beyond [ ] users included as part of setup Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup- Standard ad-hoc select: $___ /request (Includes up to 2 hours of programming. If beyond[ ] per file - Custom coded data for recurring, additional time will be scheduled delivery: $___ / [ ] per hour consultation and development.) − programming development - Support: $___ [ ] /file per month − Files can be - Recurring files/ reports scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $___[ ] one-time fee - Support: $___ [ ] /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___[ ] implementation − $___ [ ] /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ [ ] implementation − $___ [ ] /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___[ ] implementation − $___ [ ] /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___[ ] implementation − $___ [ ] /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___[ ] implementation − $___ [ ] /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___[ ] implementation − $___ [ ] /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___[ ] /month Lxxx Mxxxx 4 Exhibit F Programming Charges- (continuedsubject to change at prevailing rate of vendor) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ [ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Trillium 4 Exhibit GG (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at AugustJuly, 2014 2015 Transfer Agent Training Services § On-site at USBFS - $___[ ] /day § At Client Location - $___[ ] /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. o $[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] setup /fund group § $[ ] /month administration § $[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[ ] /fund group per month Literature Fulfillment Services* § Account Management − $[ ] /month § Inbound Teleservicing Only − Account Management - $[ ] /month − Call Servicing - $[ ] /minute § Lead Source Reporting − $[ ] /month § Closed Loop Reporting − Account Management - $[ ] /month − Database Installation, Setup - $[ ] /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $[ ] /monthly report Exhibit GG (continued) to the Professionally Managed Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at July, 2015 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed. Exhibit F D (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – Services; E-Commerce Services Fee Schedule at AugustSeptember, 2014 2016 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)____ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $____ /record or $___1.75 /user per month, whichever is less Vision 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $____ /management company − Transaction – purchase, redeem, exchange, literature order - $____ /event − New Account Setup – $____ /event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required/month

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (USCA Fund Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT), and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSA. Fees are calculated pro rata and billed monthly. Advisor’s Signature below acknowledges approval of the fee schedules on this Exhibit F FF. Semper Capital Management, L.P. By: /s/ Txxxxx X. Xxxxxx Printed Name: Txxxxx X. Xxxxxx Title: Sr. Managing Director Date: July 9, 2013 Semper – 6/2013 Exhibit FF (continued) to the Advisors Series Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)____ /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $____ /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $____ /year § FAN Web Direct (API) – Quoted Separately § Customization - $___ /hour § Activity (Session) Fees: − Inquiry - $____ /event − Account Maintenance - $____ /event − Transaction – financial transactions, reorder statements, etc. - $____ /event − New Account Setup - $____ /event (Not available with FAN Web Select) § Strong Authentication: − $____ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees: − Inquiry - $___/event − Maintenance - $____ /event − Transaction - $____ /event − New Account Establishment Setup - $____ /event 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 - $____ /year § Per Record Charge − Rep/Branch/ID - $.___ − Dealer - $___ § Price Files - $____ /record or $____ /user per month, whichever is less Vision 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 - $____ /event − Per broker ID - $____ /month per ID § Transaction Processing − Implementation - $____ /management company − Transaction – purchase, redeem, exchange, literature order - $___/event − New Account Setup – $____ /event − Monthly Minimum Charge - $___ /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $____ /fund group Lxxx Mxxxx 3 Semper – 6/2013 Exhibit F FF (continued) to the Advisors Series Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continuedContinued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $____ /image § Archive charge (for any image stored beyond 2 years) − $____ /document *Normal Vision ID and activity charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval - Setup: $___ /user - Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development - Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) - Support: $___ /file per month - Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) - Setup: $____ one-time fee - Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $____ implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $____ implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $____ implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $____ implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $____ implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $____ /month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ 194 /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Semper – 6/2013 Exhibit FF (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $____ /day § At Client Location - $____ /day plus travel and out-of-pocket expenses if requiredrequired Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. § $___ /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $___ setup /fund group § $___ /month administration § $___ /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $___ /fund group per month Literature Fulfillment Services* § Account Management − $___ /month § Inbound Teleservicing Only − Account Management - $___ /month − Call Servicing - $___ /minute § Lead Conversion Reporting − $___ /month § Closed Loop Reporting − Account Management - $___ /month − Database Installation, Setup - $___ /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting $___ /monthly report Semper – 6/2013 Exhibit FF (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) FAF Money Market Fund Service Organizations § $___ /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $___ /qualified plan account or Cxxxxxxxx ESA account (Cap at $___ /SSN) § $___ /transfer to successor trustee § $___ /participant distribution (Excluding SWPs) § $___ /refund of excess contribution § $___ /reconversion/recharacterization Additional Shareholder Paid Fees § $___ /outgoing wire transfer or overnight delivery § $___ /telephone exchange § $___ /return check or ACH or stop payment § $___ /research request per account (Cap at $___ /request) (This fee applies to requests for statements older than the prior year)

Appears in 1 contract

Samples: Advisors Series Trust (Advisors Series Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reporting, short-term trader reporting, excessive trader, investor email services, dealer reclaim services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI reporting, sales reporting & 22c-2 reporting (MARS), electronic statements (Informa), marketing and fulfillment solution (eCONNECT)Fund Source, EConnect Delivery, Shareholder Call review analysis, statement support, mutual fund profile II services, dealer/fund merger events, NAV reprocessing and additional services mutually agreed upon. ** Subject to annual CPI increase, Milwaukee MSAincrease – All Urban Consumers – U.S. City Average. Fees are calculated pro rata and billed monthly. The monthly fee for an open account shall be charged in the month during which an account is opened through the month in which such account is closed. The monthly fee for a closed account shall be charged in the month following the month during which such account is closed Exhibit F (continued) to the Trust for Advised - Manager Directed Portfolios Transfer Agent Servicing Agreement Agreement; E-Commerce Fee Schedules at August, 2017 Transfer Agent & Shareholder Services - Supplemental Services – E-Commerce Services Fee Schedule at August, 2014 CUSIP Setup § CUSIP Setup beyond the initial CUSIP – $___per CUSIP § Expedited CUSIP Setup – $___per CUSIP (Less than 35 days) FAN Web Responsive Design (includes Mobile Access) Shareholder internet account access to account information and transaction capabilities through a hyperlink at the fund group web siteinternet. Shareholders can securely access account information, portfolio listing fund familyconduct financial transactions, transaction historyand perform account maintenance activities. Electronic document delivery is also available as an adjunct service. This version of FAN Web has a completely redesigned, purchase additional shares through ACHmodern user interface which caters to a full range of connected devices, etcincluding tablets and smart phones. § FAN Web Premium (Fund Groups over 50,000 open accounts) - Implementation - $)___/fund per fund group – includes up to 25 90 hours of technical/BSA support - Annual Base Fee - $___/year per year § FAN Web Select (Fund Groups under 50,000 open accounts) - Implementation - $___/fund per fund group – includes up to 10 45 hours of technical/BSA support - Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted Separately per year § Customization - $___ /hour per hour – (subject to change at prevailing rates of vendor) § Activity (Session) Fees: - Inquiry - $___/event − per event - Account Maintenance - $___/event − per event - Transaction – financial transactions, reorder statementsduplicate statement requests, etc. - $___/event − per event - New Account Setup - Set-up – $___/event per event (Not available with FAN Web Select) § Strong Authentication: - $___/month per month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year per year § Per Record Charge - Rep/Branch/ID - $___ - Dealer - $___ § Price Files - $___/record per record or $___/user per user per month, whichever is less Vision Permits Electronic Statement Services Online account access for 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 accountsRIAs. § Inquiry Only − Account inquiry - Inquiry - $___/event − Per broker _ per event - Vision ID - $___/month per month per ID § Transaction Processing − Processing* - Implementation Fee - $___/management company − per Management Company - Transaction – purchase, redeem, exchange, literature order and exchange - $___/event − New Account Setup – $___/event − per event - Monthly Minimum Charge - $___ /month Vision per month § Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.Statements* § Implementation Fees − - Implementation- $___/fund per fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § - Load charges − $___/image § charges-$___per image - Archive charge (for any image stored beyond 2 years) − $years)-$ ___/document per document *Normal Vision ID and activity event charges also apply. Client Web Data Access USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day plus travel and out-of-pocket expenses if required

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Manager Directed Portfolios)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web sales reporting data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reportingwarehouse, investor email services, dealer reclaim e-mail services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI lead conversion reporting, sales reporting & 22c-2 reporting (MARS)12b-1 aging, electronic statements (Informa)Same Day Cash Flow System, marketing and fulfillment solution (eCONNECT)Short-Term Trader reporting, Jumbo Pricing, and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSADaily Valuation/Manual 401K Trade. Fees are calculated pro rata and billed monthly. monthly Amended Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent Agreement—DoubleLine Funds Trust TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES—E-Commerce Services Fee Schedule at AugustCOMMERCE SERVICES FEE SCHEDULE AT January 15, 2014 2013 FAN Web WEB Shareholder internet access to account information and transaction capabilities through a hyperlink transparent link at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted API)—Quoted Separately § Customization - $___ • Customization—$165 /hour § Activity (Session) Fees: − Inquiry - $___• Inquiry—$0.15 /event Account Maintenance - $___Maintenance—$0.25 /event − Transaction – • Transaction—financial transactions, reorder statements, etc. - $___etc.—$0.50 /event New Account Setup - $___Set-up—$3.00 /event (Not available with FAN Web Select) § Strong Authentication: $___0.045 /month per active active* FAN Web ID (* Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___• Inquiry—$0.05 /event Per broker ID - $___ID—$5.00 /month per ID § Transaction Processing − Implementation - $___• Implementation—$5,000 /management company − Transaction – • Transaction—purchase, redeem, exchange, literature order - $___order—$0.50 /event New Account Setup – $___Setup—may contain multiple fund/accounts—$3.00 /event Monthly Minimum Charge - $___ Charge—$500 /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access CLIENT DEDICATED LINE DATA ACCESS For USBFS client clients requiring continuous on-line access to fund USBFS shareholder accounting systems, such as for client call center support: • $7,000 /year per workstation for TA2000 AWD access • Plus data communications setup and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending monthly charges based upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) • Plus training billed at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day hourly rates plus travel and out-of-pocket expenses if requiredAmended Exhibit E (continued) to the Transfer Agent Servicing Agreement—DoubleLine Funds Trust TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE AT January 15, 2013 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. • 90 days or less—$0.08 /open account • 91-180 days—$0.14 /open account • 181-270 days—$0.20 /open account • 271 days – 1 year—$0.26 /open account • 1 year – 2 years—$0.38 /open account Cost Basis Reporting—Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. • $1.00 /direct open account per year 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. • $500 setup /fund group of 1-5 funds, $1,500 setup /fund group of over 5 funds • $0.12 /account per year 12b-1 Distribution Fee Aging—Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age will be charged at $1.50 per open account per year.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (DoubleLine Funds Trust)

Additional Services. Available but not included above are the following services - FAN Web shareholder e-commerce, FAN Mail electronic data delivery, Vision intermediary e-commerce, client Web sales reporting data access, recordkeeping application access, programming charges, outbound calling & marketing campaigns, training, cost basis reportingwarehouse, investor email services, dealer reclaim e-mail services, literature fulfillment, money market fund service organizations, charges paid by investors, physical certificate processing, Real Time Cash Flow, CUSIP setup, CTI lead conversion reporting, sales reporting & 22c-2 reporting (MARS)12b-1 aging, electronic statements (Informa)Same Day Cash Flow System, marketing and fulfillment solution (eCONNECT)Short-Term Trader reporting, Jumbo Pricing, and additional services mutually agreed upon. *Subject to annual CPI increase, Milwaukee MSADaily Valuation/Manual 401K Trade. Fees are calculated pro rata and billed monthly. monthly Exhibit F E (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent DoubleLine Equity Funds TRANSFER AGENT & Shareholder Services Supplemental Services – SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES—E-Commerce Services Fee Schedule COMMERCE SERVICES FEE SCHEDULE at AugustMarch, 2014 2013 FAN Web WEB Shareholder internet access to account information and transaction capabilities through a hyperlink transparent link at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $)___/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $___/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $___/year § FAN Web Direct (API) – Quoted API)—Quoted Separately § Customization - $___ • Customization—$ xxx /hour § Activity (Session) Fees: − Inquiry - $___• Inquiry—$ xxx /event Account Maintenance - $___Maintenance—$ xxx /event − Transaction – • Transaction—financial transactions, reorder statements, etc. - $___etc.—$ xxx /event New Account Setup - $___Set-up—$ xxx /event (Not available with FAN Web Select) § Strong Authentication: − $___• $ xxx /month per active active* FAN Web ID (* Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $___ § Monthly Base Fee - $___ § Transaction Fees:  − Inquiry - $___/event  − Maintenance - $___/event  − Transaction - $___/event  − New Account Establishment Setup - $___/event 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 - $___/year § Per Record Charge − Rep/Branch/ID - $___ − Dealer - $___ § Price Files - $___/record or $___/user per month, whichever is less Vision 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 - $___• Inquiry—$ xxx /event Per broker ID - $___ID—$ xxx /month per ID § Transaction Processing − Implementation - $___• Implementation—$ xxx /management company − Transaction – • Transaction—purchase, redeem, exchange, literature order - $___order—$ xxx /event New Account Setup – $___Setup—may contain multiple fund/accounts—$ xxx /event Monthly Minimum Charge - $___ Charge—$ xxx /month Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees − $___/fund group Lxxx Mxxxx 3 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) at August, 2014 Vision Electronic Statements (Continued) § Load charges − $___/image § Archive charge (for any image stored beyond 2 years) − $___/document *Normal Vision ID and activity charges also apply. Client Web Data Access CLIENT DEDICATED LINE DATA ACCESS For USBFS client clients requiring continuous on-line access to fund USBFS shareholder accounting systems, such as for client call center support: • $ xxx /year per workstation for TA2000 AWD access • Plus data communications setup and investor data through USBFS technology applications and data delivery and security software. § BDS – Statement Storage & Retrieval − Setup: $___ /user − Support: $___ /user per month Additional Data Delivery Services § Ad Hoc/ PowerSelect File Development − Setup: $___ /request (Includes up to 2 hours of programming. If beyond, additional time will be $___ / hour consultation and development.) − Support: $___ /file per month − Files can be scheduled for delivery via Report Source. § Custom Electronic File Exchange (DDS delivery of standard TIP files) − Setup: $___one-time fee − Support: $___ /file per month Recordkeeping Application Access § Internet VPN – Infrastructure to allow for application accessibility to host systems and file transfers − $___implementation − $___ /month § Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers − Cost varies depending monthly charges based upon location and bandwidth § TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. − $___ implementation − $___ /ID per month § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. − $___implementation − $___ /ID per month § TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. − $___implementation − $___ /ID per month § Automated Work Distributor (AWD) – Image and workflow application. − $___implementation − $___ /ID per month § Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. − $___implementation − $___ /ID per month § PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. − $___/month Lxxx Mxxxx 4 Exhibit F (continued) to the Trust for Advised Portfolios Transfer Agent Servicing Agreement Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule (continued) • Plus training billed at August, 2014 Programming Charges § $___ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: − Fund setup programming (transfer agent system, statements, options, etc.) − Conversion programming − Customized service development − Voice response system setup (menu selections, shareholder system integration, testing, etc.) − All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Transfer Agent & Shareholder Services Supplemental Services Fee Schedule at August, 2014 Transfer Agent Training Services § On-site at USBFS - $___/day § At Client Location - $___/day hourly rates plus travel and out-of-pocket expenses if requiredExhibit E (continued) to the Transfer Agent Servicing Agreement DoubleLine Equity Funds TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE AT March, 2013 Short-Term Trader—Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. • 90 days or less—$ xxx /open account • 91-180 days—$ xxx /open account • 181-270 days—$ xxx /open account • 271 days - 1 year—$ xxx /open account • 1 year - 2 years—$ xxx /open account Cost Basis Reporting—Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. • $ xxx /direct open account per year 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. • $ xxx setup /fund group of 1-5 funds, $ xxx setup /fund group of over 5 funds • $ xxx /account per year 12b-1 Distribution Fee Aging—Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age will be charged at $ xxx per open account per year.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (DoubleLine Equity Funds)

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