Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. ∎ Document Loading, Storage, and Access ∎ Document Consent Processing, Suppression, and Notification - $[ ] per suppressed statement ∎ Development & Implementation of Electronic Compliance Documents - $[ ] initial setup fee Note: Annual compliance minimum fee of $[ ] FAN Web Transaction Fees - (included) ∎ View Consent Enrollment - $[ ] per transaction ∎ Consent Enrollment - $[ ] per transaction ∎ View Statements - $[ ] per view Vision Electronic Statements - (included) Provides the capability for financial intermediaries to access electronic statements via the Vision application.* ∎ Implementation Fees - $[ ] per fund group ∎ Load charges - $[ ] per image ∎ Archive charge (for any image stored beyond 2 years) - $[ ] per document *Normal Vision ID and activity charges also apply. *FAN Web customization charges also apply Notes: All pricing based upon contractual five -year term. Proposal is rough estimate based upon client request. Rates subject to change once formal business requirements are received and reviewed. Estimate is valid for 90 days based on the following conditions: ∎ Document Loading, Storage and Access - Statements presented as PDF documents. Includes data preparation for web-based presentment, document loading, hot storage for two years (2) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. ∎ Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. ∎ Document Setup & Development Fees -- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT XXXX data feed. Applies to major classes of documents (x.x. xxxxx confirm, investor, and tax documents) and significantly different documents within a class (e.g. a high net worth statement). Document set up fees will be determined upon requirements gathering and defining project scope. ∎ Consent options will be reflected on TA2000; Email tracking and reporting on TA2000 Ele...
Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Loading, Storage, and Access § Document Consent Processing, Suppression, and Notification - $[ ] per suppressed statement § Development & Implementation of Electronic Compliance Documents - $[ ] initial setup fee FAN Web Transaction Fees § View Consent Enrollment - $[ ] per transaction § Consent Enrollment - $[ ] per transaction § View Statements - $[ ] per view
Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. § Document Loading, Storage, and Access § Document Consent Processing, Suppression, and Notification - $___ per suppressed statement § Development & Implementation of Electronic Compliance Documents - $___ initial setup fee Note: Annual compliance minimum fee of $___. FAN Web Transaction Fees § View Consent Enrollment - $___ per transaction § Consent Enrollment - $___ per transaction § View Statements - $___ per view Vision Electronic Statements Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees - $___ per fund group § Load charges - $___ per image § Archive charge (for any image stored beyond 2 years) - $___ per document *Normal Vision ID and activity charges also apply. *FAN Web customization charges also apply Notes: All pricing based upon contractual three-year term. Proposal is rough estimate based upon client request. Rates subject to change once formal business requirements are received and reviewed. Estimate is valid for 90 days based on the following conditions: § Document Loading, Storage and Access - Statements presented as PDF documents. Includes data preparation for web-based presentment, document loading, hot storage for two years (2) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. § Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. § Document Setup & Development Fees-- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT MXXX data feed. Applies to major classes of documents (e.x. xxxxx confirm, investor, and tax documents) and significantly different documents within a class (e.g. a high net worth statement). Document set up fees will be determined upon requirements gathering and defining project scope. § Consent options will be reflected on TA2000; Email tracking and reporting on TA2000 Electronic Media reports Stan...
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, Suppression, and Notification – $_____ per suppressed statement • Development & Implementation of Electronic Compliance Documents – $_____ initial setup fee Related Digital Investor Fees • View Consent Enrollment – $_____ per transaction • Consent Enrollment – $_____ per transaction • View Statements – $_____ per view Notes: • 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 • 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- $_____ per fund group • Load charges-$_____ per image • Archive charge (for any image stored beyond 2 years)-$_____ per document *Vision ID and event charges also apply. • Threatmetrix Services: Description Monthly Schedule Annualized MFA Annual Product Fee Below 1000 IDs $_____ $_____ 1000-3450 IDs $_____ $_____ 3451 IDs and above $_____ $_____ 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 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 Teleservicing Only • $_____ per mo...
Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. ■ $[...] per suppressed statement - Document Consent Processing, Suppression, and Notification ■ $[...] initial setup fee - Development & Implementation of Electronic Compliance Documents Related Digital Investor Fees ■ $[...] per transaction - View Consent Enrollment ■ $[...] per transaction - Consent Enrollment ■ $[...] per view - View Statements Notes: ■ Statements presented as PDF documents ■ Statements will be loaded for all accounts, regardless of consent ■ Three year minimum term ■ $[...] archive fee per document per year for three years and greater, if desired. Storage for two years included in Document Loading, Storage and Access fee Digital Investor customization charges apply
Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. ■ $ [ ]per suppressed statement, Document Consent Processing, Suppression, and Notification ■ $ [ ]initial setup fee, Development & Implementation of Electronic Compliance Documents - Related Digital Investor Fees ■ $ [ ]per transaction, View Consent Enrollment ■ $ [ ]per transaction, Consent Enrollment ■ $ [ ]per view, View Statements Notes: ■ Statements presented as PDF documents ■ Statements will be loaded for all accounts, regardless of consent ■ [ ]-year minimum term ■ Storage for [ ]years included in Document Loading, Storage and Access fee. Archive fee of $[ ]per document per year for [ ]years and greater, if desired Digital Investor customization charges apply Reflection Asset Management acknowledges fee schedule on this Exhibit K REFLECTION ASSET MANAGEMENT By: _/s/ Xxxxx Xxxxxxx_____________________________ Printed Name and Title: _Xxxxx Xxxxxxx____________________________ Date: __1-8-24________
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, Suppression, and Notification – $$[ ] per suppressed statement • Development & Implementation of Electronic Compliance Documents – $[ ] initial setup fee Related Digital Investor Fees • View Consent Enrollment – $[ ] per transaction • Consent Enrollment – $[ ] per transaction • View Statements – $[ ] per view Notes: • 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 $0.015 per document per year for three years and greater, if desired Digital Investor customization charges apply
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, Suppression, and Notification – $___ per suppressed statement § Development & Implementation of Electronic Compliance Documents – $___ initial setup fee Note: Annual compliance minimum fee of $___. Related FAN Web Fees § View Consent Enrollment – $___per transaction § Consent Enrollment – $___per transaction § View Statements – $___per view Notes: § 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 § FAN Web customization charges also apply Advisor's Signature below acknowledges approval of the fee schedules on this Exhibit F. Vert Asset Management LLC By: /s/ Sxxxxx X. Xxxxx Printed Name and Title: Sxxxxx X. Xxxxx, CEO Date: 09-05-2017
Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. ■ $ [ ] per suppressed statement, Document Consent Processing, Suppression, and Notification ■ $ [ ] initial setup fee, Development & Implementation of Electronic Compliance Documents - Related Digital Investor Fees ■ $ [ ] per transaction, View Consent Enrollment ■ $ [ ] per transaction, Consent Enrollment ■ $ [ ] per view, View Statements Notes: ■ 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 $0.015 per document per year for three years and greater, if desired Digital Investor customization charges apply Advisor’s Signature below acknowledges approval of fees outlined in Exhibit II: Bridges Investment Management, LLC By:_______________________________ Name:____________________________ Title:_____________________________ Date:_____________________________
Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. • $ [__] per suppressed statement, Document Consent Processing, Suppression, and Notification • $ [__] initial setup fee, Development & Implementation of Electronic Compliance Documents - Related Digital Investor Fees • $ [__] per transaction, View Consent Enrollment • $ [__] per transaction, Consent Enrollment • $ [__] per view, View Statements Notes: • 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 Adviser’s signature below is solely in acknowledgment of the above fee schedule. PABRAI WAGON INVESTMENTS FUNDS By: Name: Title:
