Core Tax Services. M-1 book-to-tax adjustments at fiscal and excise year-end, prepare tax footnotes in conjunction with fiscal year-end audit, Prepare Form 1120-RIC federal income tax return and relevant schedules, Prepare Form 8613 and relevant schedules, Prepare Form 1099-MISC Forms, Prepare Annual TDF FBAR (Foreign Bank Account Reporting) filing, Prepare state returns (Limited to two) and Capital Gain Dividend Estimates (Limited to two). Optional Tax Services • Prepare book-to-tax adjustments & Form 5471 for Controlled Foreign Corporations (CFCs) – $_____ per year • Additional Capital Gain Dividend Estimates – (First two included in core services) – $_____ per additional estimate • State tax returns - (First two included in core services) – $_____ per additional return Tax Reporting – MLP C-Corporations Federal Tax Returns • Prepare corporate Book to tax calculation, average cost analysis and cost basis role forwards, and federal income tax returns for investment fund (Federal returns & 1099 Breakout Analysis) – $_____ • Prepare Federal and State extensions (If Applicable) – Included in the return fees • Prepare provision estimates – $_____ Per estimate State Tax Returns • Prepare state income tax returns for funds and blocker entities – $_____ per state return • Sign state income tax returns – $_____ per state return • Assist in filing state income tax returns – Included with preparation of returns • State tax notice consultative support and resolution – $_____ per fund Transfer Agent & Shareholder Services 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 $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) Digital Investor Shareholder account access through the internet. Shareholders can securely access account information, 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. • Implementation • $_____ –per fund group, Inquiry only - no transaction capabilities • $_____ per fund group, base transactional and maintenance functionality • Three year minimum term Description Schedule Annual Fee – Based on Login Volume Up to 100,000 $_____ 100,000 – 999,999 $_____ 1,000,000+ $_____ Activity Fees Per Login $_____ per event Login Challenge (email or SMS Text) $_____ per event Inquiry $_____ per event Account Maintenance $_____ per event Transaction – financial transactions, duplicate statements requests, etc. $_____ per event New Account Set-up _____ per event Bank Verification Attempt $_____ per event Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request.
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Samples: Fund Servicing Agreement (Total Fund Solution), Fund Servicing Agreement (Total Fund Solution)
Core Tax Services. M-1 book-to-tax adjustments at fiscal and excise year-end, prepare tax footnotes in conjunction with fiscal year-end audit, Prepare Form 1120-RIC federal income tax return and relevant schedules, Prepare Form 8613 and relevant schedules, Prepare Form 1099-MISC Forms, Prepare Annual TDF FBAR (Foreign Bank Account Reporting) filing, Prepare state returns (Limited to two) and Capital Gain Dividend Estimates (Limited to two). Optional Tax Services • Prepare book-to-tax adjustments & Form 5471 for Controlled Foreign Corporations (CFCs) – $_____ [ ] per year • Additional Capital Gain Dividend Estimates – (First two included in core services) – $_____ [ ] per additional estimate • State tax returns - (First two [ ] included in core services) – $_____ [ ] per additional return Tax Reporting – MLP C-Corporations Federal Tax Returns • Prepare corporate Book to tax calculation, average cost analysis and cost basis role forwards, and federal income tax returns for investment fund (Federal returns & 1099 Breakout Analysis) – $_____ • [ ] Prepare Federal and State extensions (If Applicable) – Included in the return fees • Prepare provision estimates – $_____ [ ] Per estimate State Tax Returns • Prepare state income tax returns for funds and blocker entities – $_____ [ ] per state return • Sign state income tax returns – $_____ [ ] per state return • Assist in filing state income tax returns – Included with preparation of returns • State tax notice consultative support and resolution – $_____ [ ] per fund Transfer Agent & Shareholder Services 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 $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) Digital Investor Shareholder account access through the internet. Shareholders can securely access account information, 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. • Implementation • $_____ [ ] –per fund group, Inquiry only - no transaction capabilities • $_____ [ ] per fund group, base transactional and maintenance functionality • Three [ ] year minimum term Description Schedule Annual Fee – Based on Login Volume Up to 100,000 [ ] $_____ 100,000 [ ] [ ] – 999,999 [ ] $_____ 1,000,000[ ] [ ] + $_____ [ ] Activity Fees Per Login $_____ [ ] per event Login Challenge (email or SMS Text) $_____ [ ] per event Inquiry $_____ [ ] per event Account Maintenance $_____ [ ] per event Transaction – financial transactions, duplicate statements requests, etc. $_____ [ ] per event New Account Set-up _____ $[ ] per event Bank Verification Attempt $_____ [ ] per event Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request.
Appears in 1 contract
Core Tax Services. M-1 book-to-tax adjustments at fiscal and excise year-end, prepare tax footnotes in conjunction with fiscal year-end audit, Prepare Form 1120-RIC federal income tax return and relevant schedules, Prepare Form 8613 and relevant schedules, Prepare Form 1099-MISC Forms, Prepare Annual TDF FBAR (Foreign Bank Account Reporting) filing, Prepare state returns (Limited to two) and Capital Gain Dividend Estimates (Limited to two). Optional Tax Services • Prepare book-to-tax adjustments & Form 5471 for Controlled Foreign Corporations (CFCs) – $_____ [ ]per year • Additional Capital Gain Dividend Estimates – (First two [ ]included in core services) – $_____ [ ]per additional estimate • State tax returns - (First two [ ]included in core services) – $_____ [ ]per additional return Tax Reporting – MLP C-Corporations Federal Tax Returns • Prepare corporate Book to tax calculation, average cost analysis and cost basis role forwards, and federal income tax returns for investment fund (Federal returns & 1099 Breakout Analysis) – $_____ • [ ] Prepare Federal and State extensions (If Applicable) – Included in the return fees • Prepare provision estimates – $_____ [ ]Per estimate State Tax Returns • Prepare state income tax returns for funds and blocker entities – $_____ [ ]per state return • Sign state income tax returns – $_____ [ ]per state return • Assist in filing state income tax returns – Included with preparation of returns • State tax notice consultative support and resolution – $_____ [ ]per fund Transfer Agent & Shareholder Services 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 $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) Digital Investor Shareholder account access through the internet. Shareholders can securely access account information, 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. • Implementation • $_____ [ ]–per fund group, Inquiry only - no transaction capabilities • $_____ [ ]per fund group, base transactional and maintenance functionality • Three [ ]year minimum term Description Schedule Annual Fee – Based on Login Volume Up to 100,000 [ ] $_____ 100,000 [ ] [ ]– 999,999 [ ] $_____ 1,000,000[ ] [ ]+ $_____ [ ] Activity Fees Per Login $_____ [ ]per event Login Challenge (email or SMS Text) $_____ [ ]per event Inquiry $_____ [ ]per event Account Maintenance $_____ [ ]per event Transaction – financial transactions, duplicate statements requests, etc. $_____ [ ]per event New Account Set-up _____ $[ ]per event Bank Verification Attempt $_____ [ ]per event Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request.
Appears in 1 contract
Core Tax Services. M-1 book-to-tax adjustments at fiscal and excise year-end, prepare tax footnotes in conjunction with fiscal year-end audit, Prepare Form 1120-RIC federal income tax return and relevant schedules, Prepare Form 8613 and relevant schedules, Prepare Form 1099-MISC Forms, Prepare Annual TDF FBAR (Foreign Bank Account Reporting) filing, Prepare state returns (Limited to two) and Capital Gain Dividend Estimates (Limited to two). Optional Tax Services • Prepare book-to-tax adjustments & Form 5471 for Controlled Foreign Corporations (CFCs) – $_____ [ ] per year • Additional Capital Gain Dividend Estimates – (First two included in core services) – $_____ [ ] per additional estimate • State tax returns - (First returns—(First two included in core services) – $_____ [ ] per additional return Tax Reporting – MLP C-Corporations Federal Tax Returns • Prepare corporate Book to tax calculation, average cost analysis and cost basis role forwards, and federal income tax returns for investment fund (Federal returns & 1099 Breakout Analysis) – $_____ [ ] • Prepare Federal and State extensions (If Applicable) – Included in the return fees • Prepare provision estimates – $_____ [ ] Per estimate State Tax Returns • Prepare state income tax returns for funds and blocker entities – $_____ [ ] per state return • Sign state income tax returns – $_____ [ ] per state return • Assist in filing state income tax returns – Included with preparation of returns • State tax notice consultative support and resolution – $_____ [ ] per fund Transfer Agent & Shareholder Services Additional Services Fee Schedule Charges Paid Exhibit C REQUIRED PROVISIONS OF DATA SERVICE PROVIDERS • The Administrator shall use the Data solely in connection with the services provided under this Agreement and will not redistribute the Data in any form or manner to any third party, except to the extent that the Administrator is permitted to do so under the terms of any other applicable agreement granting the Administrator rights to the Data or as may otherwise be expressly agreed to by Investors Shareholder accounts the Data Provider. • The Administrator will be charged based upon not use or permit anyone else to use the type of activity and type of accountData in connection with creating, including the following: Qualified Plan Fees • $_____ per qualified plan account managing, advising, writing, trading, marketing or Xxxxxxxxx ESA account promoting any securities or financial instruments or products, including, but not limited to, funds, synthetic or derivative securities (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) Digital Investor Shareholder account access through the internet. Shareholders can securely access account informatione.g., conduct financial transactionsoptions, warrants, swaps, and perform account maintenance activities. Electronic document delivery is also available as futures), whether listed on an adjunct service. Digital Investor includes user interface which caters exchange or traded over the counter or on a private-placement basis or otherwise or 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 functionalitycreate any indices (custom or otherwise). • Implementation The Administrator will treat the Data as proprietary to the Data Provider. Further, the Administrator shall acknowledge that the Data Provider is the sole and exclusive owners of the Data and all trade secrets, copyrights, trademarks and other intellectual property rights in or to the Data. • $_____ –per fund groupThe Administrator will not (i) copy any component of the Data, Inquiry only - no transaction capabilities (ii) alter, modify or adapt any component of the Data, including, but not limited to, translating, decompiling, disassembling, reverse engineering or creating derivative works, or (iii) make any component of the Data available to any other unaffiliated person or organization directly or indirectly, for any of the foregoing or for any other use, including, without limitation, by loan, rental, service bureau, external time sharing or similar arrangement. • $_____ per fund groupThe Administrator shall reproduce on all permitted copies of the Data all copyright, base transactional proprietary rights and maintenance functionality restrictive legends appearing on the Data. • Three year minimum term Description Schedule Annual Fee – Based on Login Volume Up The Administrator shall assume the entire risk of using the Data and shall agree to 100,000 $_____ 100,000 – 999,999 $_____ 1,000,000+ $_____ Activity Fees Per Login $_____ per event Login Challenge hold the Data Providers harmless from any claims that may arise in connection with any use of the Data by the Administrator. • The Administrator acknowledges that the Data Providers may, in their sole and absolute discretion and at any time, terminate USBGFS’ right to receive and/or use the Data. • The Administrator acknowledges and agrees that the Data Providers are third party beneficiaries of the agreements between the Data Providers and USBGFS with respect to the provision of the Data, entitled to enforce all provisions of such agreement relating to the Data. • THE DATA IS PROVIDED TO THE ADMINISTRATOR ON AN “AS IS” BASIS. USBGFS, ITS INFORMATION PROVIDERS, AND ANY OTHER THIRD PARTY INVOLVED IN OR RELATED TO THE MAKING OR COMPILING OF THE DATA MAKE NO REPRESENTATION OR WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, WITH RESPECT TO THE DATA (email or SMS Text) $_____ per event Inquiry $_____ per event Account Maintenance $_____ per event Transaction – financial transactionsOR THE RESULTS TO BE OBTAINED BY THE USE THEREOF). USBGFS, duplicate statements requestsITS INFORMATION PROVIDERS AND ANY OTHER THIRD PARTY INVOLVED IN OR RELATED TO THE MAKING OR COMPILING OF THE DATA EXPRESSLY DISCLAIM ANY AND ALL IMPLIED WARRANTIES OF ORIGINALITY, etcACCURACY, COMPLETENESS, NON-INFRINGEMENT, MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. $_____ per event New Account Set-up _____ per event Bank Verification Attempt $_____ per event Optional features with additional implementation fees and ongoing fees are available• THE ADMINISTRATOR ASSUMES THE ENTIRE RISK OF ANY USE THE ADMINISTRATOR MAY MAKE OF THE DATA. A full feature list and quote is available upon request.IN NO EVENT SHALL USBGFS, ITS INFORMATION PROVIDERS OR ANY THIRD PARTY INVOLVED IN OR RELATED TO THE MAKING OR COMPILING OF THE DATA, BE LIABLE TO THE ADMINISTRATOR, OR ANY OTHER THIRD PARTY, FOR ANY DIRECT OR INDIRECT DAMAGES, INCLUDING, WITHOUT LIMITATION, ANY LOST PROFITS, LOST SAVINGS OR OTHER INCIDENTAL OR CONSEQUENTIAL DAMAGES ARISING OUT OF THIS AGREEMENT OR THE INABILITY OF THE ADMINISTRATOR TO USE THE DATA, REGARDLESS OF THE FORM OF ACTION, EVEN IF USBGFS, ANY OF ITS INFORMATION PROVIDERS, OR ANY OTHER THIRD PARTY INVOLVED IN OR RELATED TO THE MAKING OR COMPILING OF THE DATA HAS BEEN ADVISED OF OR OTHERWISE MIGHT HAVE ANTICIPATED THE POSSIBILITY OF SUCH DAMAGES. Exhibit D DIGITAL BOARD MATERIALS
Appears in 1 contract
Samples: Fund Sub Administration Servicing Agreement (Aristotle Funds Series Trust)
Core Tax Services. M-1 book-to-tax adjustments at fiscal and excise year-end, prepare tax footnotes in conjunction with fiscal year-end audit, Prepare Form 1120-RIC federal income tax return and relevant schedules, Prepare Form 8613 and relevant schedules, Prepare Form 1099-MISC Forms, Prepare Annual TDF FBAR (Foreign Bank Account Reporting) filing, Prepare state returns (Limited to two) and Capital Gain Dividend Estimates (Limited to two). Optional Tax Services • Prepare book-to-tax adjustments & Form 5471 for Controlled Foreign Corporations (CFCs) – $_____ per year • Additional Capital Gain Dividend Estimates – (First two included in core services) – $_____ per additional estimate • State tax returns - (First two included in core services) – $_____ per additional return Tax Reporting – MLP C-Corporations Federal Tax Returns • Prepare corporate Book to tax calculation, average cost analysis and cost basis role forwards, and federal income tax returns for investment fund (Federal returns & 1099 Breakout Analysis) – $_____ • Prepare Federal and State extensions (If Applicable) – Included in the return fees • Prepare provision estimates – $_____ Per estimate State Tax Returns • Prepare state income tax returns for funds and blocker entities – $_____ per state return • Sign state income tax returns – $_____ per state return • Assist in filing state income tax returns – Included with preparation of returns • State tax notice consultative support and resolution – $_____ per fund Transfer Agent & Shareholder Services 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 $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) Digital Investor Shareholder account access through the internet. Shareholders can securely access account information, 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. • Implementation • $_____ –per fund group, Inquiry only - no transaction capabilities • $_____ per fund group, base transactional and maintenance functionality • Three year minimum term Description Schedule Annual Fee – Based on Login Volume Up to 100,000 $_____ 100,000 – 999,999 $_____ 1,000,000+ $_____ Activity Fees Per Login $_____ per event Login Challenge (email or SMS Text) $_____ per event Inquiry $_____ per event Account Maintenance $_____ per event Transaction – financial transactions, duplicate statements requests, etc. $_____ per event New Account Set-up __$___ per event Bank Verification Attempt $_____ per event Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request.
Appears in 1 contract
Core Tax Services. M-1 book-to-tax adjustments at fiscal and excise year-end, prepare tax footnotes in conjunction with fiscal year-end audit, Prepare Form 1120-RIC federal income tax return and relevant schedules, Prepare Form 8613 and relevant schedules, Prepare Form 1099-MISC Forms, Prepare Annual TDF FBAR (Foreign Bank Account Reporting) filing, Prepare state returns (Limited to two) and Capital Gain Dividend Estimates (Limited to two). Optional Tax Services • Prepare book-to-tax adjustments & Form 5471 for Controlled Foreign Corporations (CFCs) – $_____ [ ] per year • Additional Capital Gain Dividend Estimates – (First two [ ] included in core services) – $_____ [ ] per additional estimate • State tax returns - (First two [ ] included in core services) – $_____ [ ] per additional return Tax Reporting – MLP C-Corporations Federal Tax Returns • Prepare corporate Book to tax calculation, average cost analysis and cost basis role forwards, and federal income tax returns for investment fund (Federal returns & 1099 Breakout Analysis) – $_____ • [ ] Prepare Federal and State extensions (If Applicable) – Included in the return fees • Prepare provision estimates – $_____ [ ] Per estimate State Tax Returns • Prepare state income tax returns for funds and blocker entities – $_____ [ ] per state return • Sign state income tax returns – $_____ [ ] per state return • Assist in filing state income tax returns – Included with preparation of returns • State tax notice consultative support and resolution – $_____ [ ] per fund Transfer Agent & Shareholder Services 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 $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) Digital Investor Shareholder account access through the internet. Shareholders can securely access account information, 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. • Implementation • $_____ [ ] –per fund group, Inquiry only - no transaction capabilities • $_____ [ ] per fund group, base transactional and maintenance functionality • Three [ ] year minimum term Description Schedule Annual Fee – Based on Login Volume Up to 100,000 [ ] $_____ 100,000 [ ] [ ] – 999,999 [ ] $_____ 1,000,000[ ] [ ] + $_____ [ ] Activity Fees Per Login $_____ [ ] per event Login Challenge (email or SMS Text) $_____ [ ] per event Inquiry $_____ [ ] per event Account Maintenance $_____ [ ] per event Transaction – financial transactions, duplicate statements requests, etc. $_____ [ ] per event New Account Set-up _____ $[ ] per event Bank Verification Attempt $_____ [ ] per event Optional features with additional implementation fees and ongoing fees are available. A full feature list and quote is available upon request.
Appears in 1 contract
