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 month (OR) - Account Management • $_____ 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.
Appears in 2 contracts
Samples: Fund Servicing Agreement (Total Fund Solution), Fund Servicing Agreement (Total Fund Solution)
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 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 month (OR) - Account Management • $_____ 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.[...]
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)
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 month (OR) - Account Management • $_____ 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.
Appears in 1 contract
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 Client Web Data Access U.S. Bank client on-line access to fund and investor data through U.S. Bank technology applications and data delivery and security software. STAT – Statement and Tax Form Storage & Retrieval • Setup: $[ ] per user • Support: $[ ] per user per month ReportSource – Report and Data File Storage & Retrieval • Setup: Included in initial fund setup on Transfer Agent system • $_____ [ ] per Email Literature Fulfillment user per month Additional Data Delivery Services Ad Hoc/PowerSelect File Development • Account ManagementStandard ad-hoc select: $[ ] per file • Custom coded data for recurring, scheduled delivery: $[ ] per hour consultation and programming development • Support: $[ ] per file per month for recurring files/Database Administration reports scheduled for delivery. • Recurring files scheduled for delivery via Pivot or Managed File Services. Custom Electronic File Exchange (MFS delivery of standard TIP files) • Setup: $_____ [ ] one-time fee • Support: $[ ] per file per month • Chat Services Implementation Fee – $_____ [ ] Monthly Fee – $[ ] per SKU -Receiving month Per Chat Fee – $[ ] per chat or $[ ] per minute of chat 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 • $_____ per order - Order Processing [ ] implementation • $_____ [ ] per month per Physical Network – Infrastructure to allow for application accessibility to host systems and file transfers • Cost varies depending upon location - Skid Storage and bandwidth TA2000 3270 Emulation (Mainframe Green Screen) – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. • $_____ per SKU - Disposal • Inbound Teleservicing Only [ ] implementation • $_____ [ ] per ID per month TA2000 Desktop (ORGraphic User Interface to the TA2000 Mainframe) - – Account Management inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. • $_____ per call - Call Servicing • Lead Source Reporting [ ] implementation • $_____ [ ] per ID per month • Closed Loop Reporting TA2000 SmartDesk (Web Application to TA2000 Mainframe) – Account inquiry only. • $_____ [ ] implementation • $[ ] per ID per month - Account Management Automated Work Distributor (AWD) – Image and workflow application. • $_____ [ ] implementation • $[ ] per ID per month Same Day Cash Management (SDCM) – Fund level transaction and cash reporting. • $[ ] implementation • $[ ] per ID per month PowerSelect – SQL database used for ad hoc reporting from the shareholder recordkeeping system. • $[ ] per month Programming Services $[ ] per hour (subject to change) Charges incurred for customized services based upon fund family requirements including but not limited to: • Fund setup programming (transfer agent system, statements, options, etc.) • Customized service development • Voice response system setup (menu selections, shareholder system integration, testing, etc.) • All other client specific customization and/or development services 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: $[ ] setup per fund group Database Installation$[ ] 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 Shareholder 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 – $[ ] per hour for completion and quality validation Fund Event* Services Programming & 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. CUSIP Setup ▪ Miscellaneous Expenses • Included but not limited 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 MARS Sales Reporting & Compliance Services Standard MARS Implementation Cost $[ ] – $[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to specialized programmingone year of DST/TA2000 data) Standard MARS Products & Services (Monthly fees) $[ ] MARS Sales & Compliance Reporting (Includes 1 Sale & 1 Compliance Users) $[ ] MARS Sales Reporting (Includes 1 Sales Users) $[ ] MARS 22c-2 Compliance (Includes 1 Compliance Users) Basic support includes file import assistance, kit and order processing expensesdatabase query requests, postagecompliance report monitoring/review/analysis (only with compliance module), and printing.business requirement analysis. Additional Enhanced Services support can be negotiated. Any System Upgrades & Enhancements (quoted separately through a Statement of Work). Base includes initial four dealer interfaces plus DST. Each additional interface requires a setup fee and monthly maintenance fee. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[ ] per month. Standard MARS System Setup & Implementation Costs $[ ] – XxxxxXxxxx.xxx Integration (if added after initial MARS implementation) $[ ] – Custom Data Interface $[ ] – OmniSERV Setup ($[ ] Monthly Maintenance Fee) $[ ] – Standard DCIO Interface Setup ($[ ] Monthly Maintenance Fee) $[ ] – Standard Interface Setup ($[ ] Monthly Maintenance Fee) $[ ] – Additional OmniSERV Interface ($[ ] Monthly Maintenance Fee) Standard MARS Licenses (Monthly Fee Per User) $[ ] – Sales Reporting $[ ] – 22c-2 Compliance $[ ] – CRM $[ ] – SFDC MARS Training (in-person): $[ ] /day plus travel and out-of-pocket expenses. Data scrubbing/Transaction cleaning (daily cleaning of firm, office and rep information): Transaction cleaning Fees: Item Description Monthly cleaning fees Monthly Transactions 0 – 5K $[ ] Monthly Transactions 5K – 7.5K $[ ] Monthly Transactions 7.5K – 10K $[ ] Monthly Transactions 10K – 15K $[ ] Monthly Transactions 15K - 20k $[ ] Monthly Transactions 20k - 40k $[ ] Monthly Transactions 40k - 60k $[ ] Monthly Transactions 60k - 80k $[ ] Monthly Transactions 80k - 100k $[ ] Monthly Transactions 100k - 120k $[ ] Monthly Transactions 120k - 140k $[ ] Monthly Transactions 140k - 160k $[ ] Monthly Transactions 160k - 180k $[ ] Monthly Transactions 180k - 200k $[ ] Monthly Transactions 200k - 220k $[ ] Monthly Transactions 220k - 240k $[ ] Monthly Transactions 240k - 260k $[ ] Monthly Transactions 260k - 280k $[ ] Monthly Transactions 280k - 300k $[ ] Monthly Transactions 300k-320k $[ ] Monthly Transactions 320k-340k $[ ] Monthly Transactions 340k-360k $[ ] Monthly Transactions 360k-380k $[ ] Monthly Transactions 380k-400k $[ ] Monthly Transactions 400k-420k $[ ] Monthly Transactions 420k-440k $[ ] Monthly Transactions 440k-460k $[ ] Monthly Transactions 460k-480k $[ ] Monthly Transactions 480k-500k $[ ] Monthly Transactions 500k-520k $[ ] Monthly Transactions 520k-540k $[ ] Monthly Transactions 540k-560k $[ ] Monthly Transactions 560k-580k $[ ] Monthly Transactions 580k-600k $[ ] Monthly Transactions 600K-620k $[ ] Monthly Transactions 620k-640k $[ ] Monthly Transactions 640k-660k $[ ] Monthly Transactions 660k-680k $[ ] Monthly Transactions 680k-700k $[ ] Monthly Transactions 700k-720k $[ ] Monthly Transactions 720k-740k $[ ] Monthly Transactions 740k-760k $[ ] Monthly Transactions 760k-780k $[ ] Monthly Transactions 780k-800k $[ ] Monthly Transactions 800k-820k $[ ] Monthly Transactions 820k-840k $[ ] Monthly Transactions 840k-860k $[ ] Monthly Transactions 860k-880k $[ ] Monthly Transactions 880k-900k $[ ] Monthly Transactions 900k-920k $[ ] Monthly Transactions 920k-940k $[ ] Monthly Transactions940k-960k $[ ] 9 Monthly Transactions 960k-980k $[ ] Monthly Transactions 980k-1m $[ ] Additional Products & Services (Quoted Separately): CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), Profiling, Market Metrics, Team Buying Units and RIA Monthly Load. The implementation fee will be charged the month following the signed statement of work. Monthly Billing commences once you are live on the MARS system. A project plan will be put in place to clean all historical transactions once live on the MARS system. This will take several months to complete. The system will need one month of testing and report setup after go-live. This statement of work is valid for 60 days from the date requested. Once signed this agreement is binding for two years. MARS pricing does not include any fees imposed by intermediaries such as OmniServ MARS Lite Implementation Cost – Eligibility Based on AUM and Transaction Size: $[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of historical DST/TA2000 data) MARS Lite Products & Services (Monthly fees): $[ ] MARS Sales & Compliance Reporting $[ ] MARS Sales Reporting Only $[ ] MARS 22c-2 Compliance Only Once an AUM of $1,000,000,000 has been reached client must transition to a Standard MARS environment. Additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Basic support includes file import assistance, database query requests, compliance report monitoring/review/analysis (only with compliance module), and business requirement analysis. Additional Enhanced Services support can be negotiated. Any System Upgrades & Enhancements (quoted separately through a Statement of Work). Base includes initial two dealer interfaces plus DST. Each additional interface requires a setup fee and monthly maintenance fee. Storage allocation includes initial 10GB of data. Each additional 1GB of storage space is $[ ] per month. No CRM real-time integration. There is no system access with MARS Lite. MARS Lite System Setup & Implementation Costs (One-time fee): $[ ] – Custom Data Interface $[ ] – Additional OmniSERV Setup ($[ ] Monthly) $[ ] – Standard DCIO Interface Setup ($[ ] Monthly) $[ ] – Standard Interface Setup ($[ ] Monthly) Data scrubbing/Transaction cleaning (daily cleaning of firm, office and rep information): Transaction cleaning Fees: Item Description Monthly cleaning fees Monthly Transactions 0 – 5K $[ ] Monthly Transactions 5K – 7.5K $[ ] Monthly Transactions 7.5K – 10K $[ ] Monthly Transactions 10K – 15K $[ ] Monthly Transactions 15K - 20k $[ ] Monthly Transactions 20k - 40k $[ ] Monthly Transactions 40k - 60k $[ ] Monthly Transactions 60k - 80k $[ ] Monthly Transactions 80k - 100k $[ ] Monthly Transactions 100k - 120k $[ ] Monthly Transactions 120k - 140k $[ ] Monthly Transactions 140k - 160k $[ ] 10 Monthly Transactions 160k - 180k $[ ] Monthly Transactions 180k - 200k $[ ] Monthly Transactions 200k - 220k $[ ] Monthly Transactions 220k - 240k $[ ] Monthly Transactions 240k - 260k $[ ] Monthly Transactions 260k - 280k $[ ] Monthly Transactions 280k - 300k $[ ] Monthly Transactions 300k-320k $[ ] Monthly Transactions 320k-340k $[ ] Monthly Transactions 340k-360k $[ ] Monthly Transactions 360k-380k $[ ] Monthly Transactions 380k-400k $[ ] Monthly Transactions 400k-420k $[ ] Monthly Transactions 420k-440k $[ ] Monthly Transactions 440k-460k $[ ] Monthly Transactions 460k-480k $[ ] Monthly Transactions 480k-500k $[ ] Monthly Transactions 500k-520k $[ ] Monthly Transactions 520k-540k $[ ] Monthly Transactions 540k-560k $[ ] Monthly Transactions 560k-580k $[ ] Monthly Transactions 580k-600k $[ ] Monthly Transactions 600K-620k $[ ] Monthly Transactions 620k-640k $[ ] Monthly Transactions 640k-660k $[ ] Monthly Transactions 660k-680k $[ ] Monthly Transactions 680k-700k $[ ] Monthly Transactions 700k-720k $[ ] Monthly Transactions 720k-740k $[ ] Monthly Transactions 740k-760k $[ ] Monthly Transactions 760k-780k $[ ] Monthly Transactions 780k-800k $[ ] Monthly Transactions 800k-820k $[ ] Monthly Transactions 820k-840k $[ ] Monthly Transactions 840k-860k $[ ] Monthly Transactions 860k-880k $[ ] Monthly Transactions 880k-900k $[ ] Monthly Transactions 900k-920k $[ ] Monthly Transactions 920k-940k $[ ] Monthly Transactions940k-960k $[ ] Monthly Transactions 960k-980k $[ ] Monthly Transactions 980k-1m $[ ] The implementation fee will be charged the month following the signed statement of work. Monthly Billing commences once you are live on the MARS system. A project plan will be put in place to clean all historical transactions once live on the MARS system. This will take several months to complete. The system will need one month of testing and report setup after go-live. This statement of work is valid for 60 days from the date requested. Once signed this agreement is binding for two years. MARS pricing does not include any fees imposed by intermediaries such as OmniServ. To qualify for MARS Lite a fund’s AUM must be under one billion dollars. Once a client has reached and AUM of $1 billion in the MARS Lite environment a separate Work Order will be required to transition to a Standard MARS environment. There may be fees associated with this transition. CornerCap Investment Counsel By: /s/ X. XxxxxxXxxx Name: X. XxxxxxXxxx, Xx. Title: CEO Date: 9/19/22
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)
