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). 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 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 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 ESG Compliance Reporting Services Monthly Investor Transparency Reporting $[ ] per annum per fund. Global Fund Services will provide a portfolio level ESG risk rating – across several criteria – to either the investment manager or the underlying investors as needed monthly. The ESG risk rating will be derived from leading market vendor data received in respect of those equity or equity derived portfolio investments where the corresponding risk data can be sourced. The risk rating will be assigned at a portfolio level based on its month end holdings and will be expressed as either a percentage of Net Asset Value or as a percentage of total portfolio holdings. Transfer Agent & Shareholder Services Additional Services Fee Schedule (*Fees Redacted) Shareholder accounts will be charged based upon the type of activity and type of account, including the following: $[ ] per qualified plan account or ▇▇▇▇▇▇▇▇▇ ESA account (Cap at $[ ] per SSN) $[ ] per transfer to successor trustee $[ ] per participant distribution (Excluding SWPs) $[ ] per refund of excess contribution $[ ] per reconversion/recharacterization $[ ] 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) 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. $[ ] –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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Sources: Fund Servicing Agreement (Managed Portfolio Series)
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). 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) – $$ [ ] per additional return Prepare corporate Book to tax calculation, average cost analysis and cost basis role forwards, and federal income tax returns for investment fund (Federal returns & 1099 Breakout Analysis) – $$ [ ] Prepare Federal and State extensions (If Applicable) – Included in the return fees Prepare provision estimates – $$ [ ] Per estimate Prepare state income tax returns for funds and blocker entities – $$ [ ] per state return •Sign Sign state income tax returns – $$ [ ] per state return •Assist Assist in filing state income tax returns – Included with preparation of returns State tax notice consultative support and resolution – $$ [ ] per fund ESG Compliance Reporting Services Monthly Investor Transparency Reporting $$ [ ] per annum per fund. Global Fund Services will provide a portfolio level ESG risk rating – across several criteria – to either the investment manager or the underlying investors as needed monthly. The ESG risk rating will be derived from leading market vendor data received in respect of those equity or equity derived portfolio investments where the corresponding risk data can be sourced. The risk rating will be assigned at a portfolio level based on its month end holdings and will be expressed as either a percentage of Net Asset Value or as a percentage of total portfolio holdings. Transfer Agent & Shareholder Services Additional Services Fee Schedule (*Fees Redacted) Shareholder accounts will be charged based upon the type of activity and type of account, including the following: $$ [ ] implementation fee per Trust per Third-Party Agent Lender Annual Base Fee $ [ ] per qualified plan account or ▇▇▇Trust per Third-Party Agent Lender Plus Transaction fees $ [ ] - transaction fee will be assessed for each loan, return, and reallocation transactions (loan/return) + Each Third-Party Agent ▇▇▇▇▇▇ ESA account will be invoiced directly *Subject to annual CPI increase – All Urban Consumers – U.S. City Average” index, provided that the CPI adjustment will not decrease the base fees (Cap even if the cumulative CPI rate at $any point in time is negative). $ [ ] for each fund (subject to Board approval) $ [ ] per SSN) $sub-adviser per fund (capped at $ [ ] per transfer sub-adviser over the fund complex) 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 successor trustee $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. * 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. Base Fee per CUSIP $ [ ] for first CUSIP in Fund Complex $ [ ] each additional class CUSIP in Fund Complex Open Accounts NSCC Level 3 $ [ ] per participant distribution (Excluding SWPs) $open account Open Accounts No Load Funds $ [ ] per refund of excess contribution $open account Closed (zero balance) Accounts $ [ ] per reconversion/recharacterization $closed account Daily Accrual Fund Accounts $ [ ] per outgoing wire transfer or overnight delivery $[ ] per telephone exchange $[ ] per return check or ACH or stop payment $[ ] per statement year requested per open account Waived Services Included in Annual Basis Point Fee Telephone Calls Voice Response Calls Manual Shareholder Transaction & Correspondence Omnibus Account Transaction Daily Valuation/Manual 401k Trade NSCC System Interface Short-Term Trader Reporting – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Excessive Trader – Software application that monitors the number of trades (This fee applies exchanges, redemptions) that meet fund family 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 research requests for statements older than the prior year) Shareholder account access through the internetmonitor and begin assessing 12b-1 fees after a certain share lot age. Shareholders can securely access account information, conduct financial transactions, All other miscellaneous fees 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 devicesexpenses, including tablets but not limited to the following, will be separately billed as incurred: Telephone toll-free lines, mailing, sorting and smart phones. The standard 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 (daily confirms, investor statements, tax, check printing and writing and commissions), voice response (VRU) maintenance and development, data communication and implementation comes with advanced authenticationcharges, eCommerce inspired workflowsspecialized programming, omnibus conversions, travel, excess history, FATCA and a base package of transaction and maintenance functionality. $[ ] –per fund groupother compliance mailings, 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 requestelectronic document archiving.
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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 • 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) – $Analysis)-$ [ ] • Prepare Federal and State extensions (If Applicable) – Applicable)- Included in the return fees • Prepare provision estimates – - $[ ] Per estimate • Prepare state income tax returns for funds and blocker entities – - $[ ] per state return •Sign • Sign state income tax returns – - $[ ] per state return •Assist • Assist in filing state income tax returns – - Included with preparation of returns • State tax notice consultative support and resolution – - $[ ] per fund ESG Compliance Reporting Services • Monthly Investor Transparency Reporting $[ ] per annum per fund. Global Fund Services will provide a portfolio level ESG risk rating – - across several criteria – - to either the investment manager or the underlying investors as needed monthly. The ESG risk rating will be derived from leading market vendor data received in respect of those equity or equity derived portfolio investments where the corresponding risk data can be sourced. The risk rating will be assigned at a portfolio level based on its month end holdings and will be expressed as either a percentage of Net Asset Value or as a percentage of total portfolio holdings. Transfer Agent & Shareholder Services Additional Services Fee Schedule (*Fees Redacted) 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 ▇▇▇▇▇▇▇▇▇ 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 .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 - 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 lnforma Shareholder Electronic Statement Services Electronic Confirm Presentation eCDLY will load shareowner daily confirmations and send notification to 100,000 consented shareowners of a new document to view. • Document Loading, Storage, and Access - $[ ] •100,000 – 999,999 per statement • Document Consent Processing, Suppression, and Notification - $[ ] •1,000,000+ per suppressed statement • Development & Implementation of Electronic Confirm Statements - $[ ] •Activity Fees •Per Login •$initial setup fee 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. • Document Loading, Storage, and Access - $[ ] per event •Login Challenge (email or SMS Text) •$statement • Document Consent Processing, Suppression, and Notification - $[ ] per event •Inquiry •$suppressed statement • Development & Implementation of Electronic Investor Statements - $[ ] initial setup fee Electronic Tax Preparation eTax will load TA2000 tax forms and send notification to the consented shareowners of a new document to view. • Document Loading, Storage, and Access - $[ ] per event •Account Maintenance •$statement • Document Consent Processing, Suppression, and Notification - $[ ] per event •Transaction – financial transactionssuppressed statement • Development & Implementation of Electronic Tax Statements - $[ ] initial setup fee Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. • Document Consent Processing, duplicate statements requestsSuppression, etc. •$and Notification - $[ ] per event •New Account Set-up •$suppressed statement • Development & Implementation of Electronic Compliance Documents - $[ ] initial setup fee Related Digital Investor Fees • View Consent Enrollment - $[ ] per event •Bank Verification Attempt •$transaction • Consent Enrollment - $[ ] per transaction • View Statements - $[ ] per view • Statements presented as PDF documents • Statements will be loaded for all accounts, regardless of consent • Three year minimum term • Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[ ] per document per year for three years and greater, if desired Digital Investor customization charges apply FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. • Base Fee Per Management Company - file generation and delivery - $[ ] per year • Per Record Charge • Rep/Branch/ID - $[ ] • Dealer-$[ ] • Price Files - $[ ] per record or $[ ] per user per month, whichever is less Vision Electronic Statement Services Online account access for broker/dealers, financial planners, and RIAs. • Account inquiry • Inquiry - $[ ] per event • Optional features with additional implementation fees Vision ID - $[ ] per month per ID • Transaction Processing* • Implementation Fee - $[ ] per Management Company • Transaction - purchase, redeem, and ongoing fees are availableexchange - $[ ] per event • Monthly Minimum Charge - $[ ] per month • Electronic Statements* • Implementation- $[ ] per fund group • Load charges-$[ ] per image • Archive charge (for any image stored beyond 2 years)-$ [ ] per document *Vision ID and event charges also apply. A full feature list and quote is available upon request.• Threatmetrix Services:
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