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 user per month beyond [ ] users included as part of setup Additional Data Delivery Services ■ Ad Hoc/PowerSelect File Development Standard 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/reports scheduled for delivery via Report Source. Recurring files scheduled for delivery via Report Source. ■ Custom Electronic File Exchange (MFS delivery of standard TIP files) Setup: $[ ] one-time fee Support: $[ ] 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. Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust Electronic Form Delivery and Signature Capture ■ Implementation fee - $[ ] (includes [ ] 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 $[ ] 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 $[ ] 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 $[ ] per ID per month ■ TA2000 SmartDesk (Web Application to TA2000 Mainframe)- Account inquiry only. $[ ] implementation $[ ] per ID per month ■ 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- SOL 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 ■ $[ ] per month administration • $[ ] per received email correspondence Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust 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 [ ] CUSIPS / $[ ] for [ ] 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 $250/hour 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 & 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 [ ] months following closing. Data is purged the first July after retention requirements have been fulfilled . Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust MARS Sales Reporting & Compliance Services Standard MARS Version Bi Implementation Cost m $[ ] - $[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to [ ] of DST/TA2000 data) Standard MARS Version Bi Products & Services (Monthly fees) II $[ ] - $[ ] MARS Sales & Compliance Reporting (Includes [ ] Sales & [ ] Compliance Users) III $[ ] - $[ ] MARS Sales Reporting (Includes [ ] Sales Users) · $[ ] - $[ ] MARS 22c-2 Compliance (Includes [ ] Compliance Users) m $[ ] - $[ ] - Enhanced Services* Includes up to [ ] 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 Bi System Setup & Implementation Costs (One-time fee) 11 $[ ] - XxxxxXxxxx.xxx Integration II $[ ] - Custom Data Interface II $[ ] - OmniSERV Setup &I $[ ] - Standard Interface 11 $[ ] - Additional OmniSERV Interface Standard Version Bi Licenses (Monthly Fee Per User) • $[ ] - Sales Reporting • $[ ] - 22c-2 Compliance • $[ ]-CRM • $[ ]- SFDC Standard Version Bi Products & Services (Monthly Fee) " $[ ] - OmniSERV $[ ] - Daily Transaction Load from Sales Portal II $[ ] - Monthly Asset Load from Sales Portal • $[ ] - XxxxxXxxxx.xxx Additional Version Bi Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC XXX Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost- Eligibility Based on AUM and Transaction Size 11 $[ ] - MARS Lite Base Sales Reporting Only (Includes up to [ ] of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) • $[ ]/month (AUM $[ ] - $[ ]) • $[ ]/month (AUM $[ ] - $[ ]) • $[ ]/month (AUM $[ ] - $[ ]) • $[ ]/month (AUM $[ ] - $[ ]) Once an AUM of $[ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to [ ] 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 [ ]GB of data. Each additional [ ]GB of storage space is $[ ] per month. No CRM real-time integration. No system access. Additional MARS Lite System Setup & 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 • $[ ] /day plus travel and out-of-pocket expenses . •• Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. lnforma Shareholder Electronic Statement Services Electronic Confirm Presentation 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. • Document Loading, Storage, and Access - $[ ] per statement ■ Document Consent Processing, Suppression, and Notification - $[ ] per suppressed statement • Development & Implementation of Electronic Confirm Statements - $[ ] 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 statement ■ Document Consent Processing, Suppression, and Notification - $[ ] per suppressed statement • Development & Implementation of Electronic Investor Statements - $[ ] initial setup fee Electronic Tax Presentation 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 statement • Document Consent Processing, Suppression, and Notification - $[ ] per suppressed 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, 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 [ ] years and greater, if desired Digital Investor customization charges apply
Appears in 1 contract
Samples: Agent Servicing Agreement (PENN Capital Funds Trust)
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-▪ 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 user per month beyond [ ] users included as part of setup Additional Data Delivery Services ■ ▪ Ad Hoc/PowerSelect File Development • Standard 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/reports scheduled for delivery via Report Sourcedelivery. • Recurring files scheduled for delivery via Report SourcePivot or Managed File Services. ■ ▪ Custom Electronic File Exchange (MFS delivery of standard TIP files) • Setup: $[ ] one-time fee • Support: $[ ] 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. Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust 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 • $[ ] per month • ▪ Physical Network- 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 • $[ ] per ID per month ■ ▪ TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) -Account – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. • $[ ] implementation • $[ ] per ID per month ■ ▪ TA2000 SmartDesk (Web Application to TA2000 Mainframe)- Mainframe) – Account inquiry only. • $[ ] implementation • $[ ] per ID per month ■ ▪ 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- SOL ▪ 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 ■ ▪ $[ ] per month administration • ▪ $[ ] per received email correspondence Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust 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 reviews. • ▪ $[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC's ’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 fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $250/hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a [ ]/hour Dealer Survey Completion Dealer fund family : ■ $[ ] setup per fund group ■ survey requests – $[ ] per certificate transaction 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 Agent)*FINCEN regulations require account retention for [ ] 12 months following closing. Data is purged the first July after retention requirements have been fulfilled fulfilled. Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust MARS Sales Reporting & Compliance Services Standard MARS Version Bi 8i Implementation Cost m ▪ $[ ] - – $[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to [ ] one year of DST/TA2000 data) Standard MARS Version Bi 8i Products & Services (Monthly fees) II ▪ $[ ] - – $[ ] MARS Sales & Compliance Reporting (Includes [ ] 5 Sales & [ ] 5 Compliance Users) III ▪ $[ ] - – $[ ] MARS Sales Reporting (Includes [ ] 5 Sales Users) · ▪ $[ ] - – $[ ] MARS 22c-2 Compliance (Includes [ ] 5 Compliance Users) m ▪ $[ ] - – $[ ] - – Enhanced Services* Includes up to [ ] 160 hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm 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 Bi 8i System Setup & Implementation Costs (One-time fee) 11 ▪ $[ ] - – XxxxxXxxxx.xxx Integration II ▪ $[ ] - – Custom Data Interface II ▪ $[ ] - – OmniSERV Setup &I ▪ $[ ] - – Standard Interface 11 ▪ $[ ] - – Additional OmniSERV Interface Standard Version Bi 8i Licenses (Monthly Fee Per User) • ▪ $[ ] - – Sales Reporting • ▪ $[ ] - – 22c-2 Compliance • ▪ $[ ]-CRM • ] – CRM ▪ $[ ]- ] – SFDC Standard Version Bi 8i Products & Services (Monthly Fee) " ▪ $[ ] - – OmniSERV ▪ $[ ] - – Daily Transaction Load from Sales Portal II ▪ $[ ] - – Monthly Asset Load from Sales Portal • ▪ $[ ] - XxxxxXxxxx.xxx Additional Version Bi Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC XXX Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost- Eligibility Based on AUM and Transaction Size 11 $[ ] - MARS Lite Base Sales Reporting Only (Includes up to [ ] of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) • $[ ]/month (AUM $[ ] - $[ ]) • $[ ]/month (AUM $[ ] - $[ ]) • $[ ]/month (AUM $[ ] - $[ ]) • $[ ]/month (AUM $[ ] - $[ ]) Once an AUM of $[ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to [ ] 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 [ ]GB of data. Each additional [ ]GB of storage space is $[ ] per month. No CRM real-time integration. No system access. Additional MARS Lite System Setup & 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 • $[ ] /day plus travel and out-of-pocket expenses . •• Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. lnforma Shareholder Electronic Statement Services Electronic Confirm Presentation 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. • Document Loading, Storage, and Access - $[ ] per statement ■ Document Consent Processing, Suppression, and Notification - $[ ] per suppressed statement • Development & Implementation of Electronic Confirm Statements - $[ ] 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 statement ■ Document Consent Processing, Suppression, and Notification - $[ ] per suppressed statement • Development & Implementation of Electronic Investor Statements - $[ ] initial setup fee Electronic Tax Presentation 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 statement • Document Consent Processing, Suppression, and Notification - $[ ] per suppressed 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, 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 [ ] years and greater, if desired Digital Investor customization charges apply– XxxxxXxxxx.xxx
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Series Portfolios Trust)
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-▪ 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 user per month beyond [ ] users included as part of setup Additional Data Delivery Services ■ ▪ Ad Hoc/PowerSelect File Development - Standard 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/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. ■ ▪ Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[ ] one-time fee - Support: $[ ] 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. Exhibit D Schedule I (continued) to the Amended and Restated Transfer Agent Servicing Agreement-PENN Capital Funds Trust Agreement Transfer Agent and Shareholder Servicing Fee Schedules at June, 2019 Electronic Form Delivery and Signature Capture ■ ▪ Implementation fee - – $[ ] (includes [ ] 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 - $[ ] per month • ▪ Physical Network- 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 - $[ ] per ID per month ■ ▪ TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) -Account – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[ ] implementation - $[ ] per ID per month ■ ▪ TA2000 SmartDesk (Web Application to TA2000 Mainframe)- Mainframe) – Account inquiry only. - $[ ] implementation - $[ ] per ID per month ■ ▪ 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- SOL ▪ 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 ■ ▪ $[ ] per month administration • ▪ $[ ] per received email correspondence Exhibit D Schedule I (continued) to the Amended and Restated Transfer Agent Servicing Agreement-PENN Capital Funds Trust Agreement Transfer Agent and Shareholder Servicing Fee Schedules at June, 2019 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 ▪ 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 reviews. • ▪ $[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC's ’s Mutual Fund Profile II site ■ ▪ Initial data population: $[ ] for less than [ ] CUSIPS / $[ ] for [ ] CUSIPS or more • ▪ Monthly maintenance: $[ ] per management company ■ ▪ Additional project fees may apply for events such as fund acquisitions, multiple fund /share fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $250/[ ] hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family family: ■ ▪ $[ ] setup per fund group ■ ▪ $[ ] per certificate transaction 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 Agent)*FINCEN regulations require account retention for [ ] months following closing. Data is purged the first July after retention requirements have been fulfilled fulfilled. Exhibit D Schedule I (continued) to the Amended and Restated Transfer Agent Servicing Agreement-PENN Capital Funds Trust Agreement Transfer Agent and Shareholder Servicing Fee Schedules at June, 2019 MARS Sales Reporting & Compliance Services Standard MARS Version Bi 8i Implementation Cost m ▪ $[ ] - – $[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to [ ] one year of DST/TA2000 data) Standard MARS Version Bi 8i Products & Services (Monthly fees) II ▪ $[ ] - – $[ ] MARS Sales & Compliance Reporting (Includes [ ] Sales & [ ] Compliance Users) III ▪ $[ ] - – $[ ] MARS Sales Reporting (Includes [ ] Sales Users) · ▪ $[ ] - – $[ ] MARS 22c-2 Compliance (Includes [ ] Compliance Users) m ▪ $[ ] - – $[ ] - – Enhanced Services* Includes up to [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm 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 Bi 8i System Setup & Implementation Costs (One-time fee) 11 ▪ $[ ] - – XxxxxXxxxx.xxx Integration II ▪ $[ ] - – Custom Data Interface II ▪ $[ ] - – OmniSERV Setup &I ▪ $[ ] - – Standard Interface 11 ▪ $[ ] - – Additional OmniSERV Interface Standard Version Bi 8i Licenses (Monthly Fee Per User) • ▪ $[ ] - – Sales Reporting • ▪ $[ ] - – 22c-2 Compliance • ▪ $[ ]-CRM • ] – CRM ▪ $[ ]- ] – SFDC Standard Version Bi 8i Products & Services (Monthly Fee) " ▪ $[ ] - – OmniSERV ▪ $[ ] - – Daily Transaction Load from Sales Portal II ▪ $[ ] - – Monthly Asset Load from Sales Portal • ▪ $[ ] - – XxxxxXxxxx.xxx Additional Version Bi 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 XXX DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost- Cost – Eligibility Based on AUM and Transaction Size 11 ▪ $[ ] - – MARS Lite Base Sales Reporting Only (Includes up to [ ] year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) • ▪ $[ ]] /month (AUM $[ ] - – $[ ]) • ▪ $[ ]] /month (AUM $[ ] - – $[ ]) • ▪ $[ ]] /month (AUM $[ ] - – $[ ]) • ▪ $[ ]] /month (AUM $[ ] - – $[ ]) Once an AUM of $[ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to [ ] 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 [ ]GB ] of data. Each additional [ ]GB ] of storage space is $[ ] per month. No CRM real-time integration. No system access. Additional MARS Lite System Setup & 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 • ▪ $[ ] /day plus travel and out-of-pocket expenses expenses. •• ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. lnforma Schedule I (continued) to the Amended and Restated Transfer Agent Servicing Transfer Agent and Shareholder Servicing Fee Schedules at June, 2019 Informa Shareholder Electronic Statement Services Electronic Confirm Presentation 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. • ▪ Document Loading, Storage, and Access - – $[ ] per statement ■ ▪ Document Consent Processing, Suppression, and Notification - – $[ ] per suppressed statement • ▪ Development & Implementation of Electronic Confirm Statements - – $[ ] 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 statement ■ ▪ Document Consent Processing, Suppression, and Notification - – $[ ] per suppressed statement • ▪ Development & Implementation of Electronic Investor Statements - – $[ ] initial setup fee Electronic Tax Presentation 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 statement • ▪ Document Consent Processing, Suppression, and Notification - – $[ ] per suppressed 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, 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 [ ] years and greater, if desired Digital Investor customization charges applyview
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (RBB Fund, Inc.)
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-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 user per month beyond [ ] users included as part of setup Additional Data Delivery Services ■ Ad Hoc/PowerSelect File Development - Standard 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/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. ■ Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[ ] one-time fee - Support: $[ ] 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. Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust Electronic Form Delivery and Signature Capture ■ Implementation fee - – $[ ] (includes [ ] 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 - $[ ] per month • ■ Physical Network- 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 - $[ ] per ID per month ■ TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) -Account – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[ ] implementation - $[ ] per ID per month ■ TA2000 SmartDesk (Web Application to TA2000 Mainframe)- Mainframe) – Account inquiry only. - $[ ] implementation - $[ ] per ID per month ■ 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- SOL 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 ■ $[ ] per month administration • ■ $[ ] per received email correspondence Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust 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 [ ] CUSIPS / $[ ] for [ ] 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 $250/hour 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 & 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 [ ] months following closing. Data is purged the first July after retention requirements have been fulfilled . Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust MARS Sales Reporting & Compliance Services Standard MARS Version Bi Implementation Cost m $[ ] - $[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to [ ] of DST/TA2000 data) Standard MARS Version Bi Products & Services (Monthly fees) II $[ ] - $[ ] MARS Sales & Compliance Reporting (Includes [ ] Sales & [ ] Compliance Users) III $[ ] - $[ ] MARS Sales Reporting (Includes [ ] Sales Users) · $[ ] - $[ ] MARS 22c-2 Compliance (Includes [ ] Compliance Users) m $[ ] - $[ ] - Enhanced Services* Includes up to [ ] 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 Bi System Setup & Implementation Costs (One-time fee) 11 $[ ] - XxxxxXxxxx.xxx Integration II $[ ] - Custom Data Interface II $[ ] - OmniSERV Setup &I $[ ] - Standard Interface 11 $[ ] - Additional OmniSERV Interface Standard Version Bi Licenses (Monthly Fee Per User) • $[ ] - Sales Reporting • $[ ] - 22c-2 Compliance • $[ ]-CRM • $[ ]- SFDC Standard Version Bi Products & Services (Monthly Fee) " $[ ] - OmniSERV $[ ] - Daily Transaction Load from Sales Portal II $[ ] - Monthly Asset Load from Sales Portal • $[ ] - XxxxxXxxxx.xxx Additional Version Bi Products & Services (Quoted Separately) Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC XXX Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost- Eligibility Based on AUM and Transaction Size 11 $[ ] - MARS Lite Base Sales Reporting Only (Includes up to [ ] of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) • $[ ]/month (AUM $[ ] - $[ ]) • $[ ]/month (AUM $[ ] - $[ ]) • $[ ]/month (AUM $[ ] - $[ ]) • $[ ]/month (AUM $[ ] - $[ ]) Once an AUM of $[ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to [ ] 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 [ ]GB of data. Each additional [ ]GB of storage space is $[ ] per month. No CRM real-time integration. No system access. Additional MARS Lite System Setup & 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 • $[ ] /day plus travel and out-of-pocket expenses . •• Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. lnforma Shareholder Electronic Statement Services Electronic Confirm Presentation 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. • Document Loading, Storage, and Access - $[ ] per statement ■ Document Consent Processing, Suppression, and Notification - $[ ] per suppressed statement • Development & Implementation of Electronic Confirm Statements - $[ ] 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 statement ■ Document Consent Processing, Suppression, and Notification - $[ ] per suppressed statement • Development & Implementation of Electronic Investor Statements - $[ ] initial setup fee Electronic Tax Presentation 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 statement • Document Consent Processing, Suppression, and Notification - $[ ] per suppressed 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, 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 [ ] years and greater, if desired Digital Investor customization charges apply.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (RBB Fund, Inc.)
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-• 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 user per month beyond [ ] users included as part of setup Additional Data Delivery Services ■ • Ad Hoc/PowerSelect File Development – Standard 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/reports scheduled for delivery via Report Source. – Recurring files scheduled for delivery via Report Source. ■ • Custom Electronic File Exchange (MFS delivery of standard TIP files) – Setup: $[ ] one-time fee – Support: $[ ] 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. Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust & Shareholder Services Additional Services Fee Schedule (Continued) 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 – $[ ] per month • Physical Network- 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 – $[ ] per ID per month ■ • TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) -Account – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. – $[ ] implementation – $[ ] per ID per month ■ • TA2000 SmartDesk (Web Application to TA2000 Mainframe)- Mainframe) – Account inquiry only. – $[ ] implementation – $[ ] per ID per month ■ • 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- SOL • 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 ■ • $[ ] per month administration • $[ ] per received email correspondence Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust & Shareholder Services Additional Services Fee Schedule (Continued) 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 – $[ ] / minute • Lead Source Reporting – $[ ]per month • Closed Loop Reporting – Account Management – $[ ] 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 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 [ ] CUSIPS / $[ ] for [ ] CUSIPS or more • Monthly maintenance: Dealer Survey Completion Dealer fund survey requests – $[ ] per management company ■ Additional project fees may apply hour for events such as fund acquisitions, multiple fund /share class launches, share class charges completion and other large processing events outside of normal fund activity to be billed at rate of $250/hour 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 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 Agent)*FINCEN regulations require account retention for [ ] 12 months following closing. Data is purged the first July after retention requirements have been fulfilled fulfilled. Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust & Shareholder Services Additional Services Fee Schedule (Continued) MARS Sales Reporting & Compliance Services Standard MARS Version Bi 8i Implementation Cost m • $[ ] - – $[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to [ ] one year of DST/TA2000 data) Standard MARS Version Bi 8i Products & Services (Monthly fees) II • $[ ] - – $[ ] ]MARS Sales & Compliance Reporting (Includes [ ] 5 Sales & [ ] 5 Compliance Users) III • $[ ] - –$[ ] MARS Sales Reporting (Includes [ ] 5 Sales Users) · • $[ ] - – $[ ] MARS 22c-2 Compliance (Includes [ ] 5 Compliance Users) m • $[ ] - – $[ ] - – Enhanced Services* Includes up to [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm 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 Bi 8i System Setup & Implementation Costs (One-time fee) 11 • $[ ] - – XxxxxXxxxx.xxx Integration II • $[ ] - – Custom Data Interface II • $[ ] - – OmniSERV Setup &I • $[ ] - – Standard Interface 11 • $[ ] - – Additional OmniSERV Interface Standard Version Bi 8i Licenses (Monthly Fee Per User) • $[ ] - ]– Sales Reporting • $[ ] - – 22c-2 Compliance • $[ ]-CRM ] – CRM • $[ ]- ] – SFDC Standard Version Bi 8i Products & Services (Monthly Fee) " • $[ ] - – OmniSERV • $[ ] - – Daily Transaction Load from Sales Portal II • $[ ] - – Monthly Asset Load from Sales Portal • $[ ] - – XxxxxXxxxx.xxx Additional Version Bi 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 XXX DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost- Cost – Eligibility Based on AUM and Transaction Size 11 • $[ ] - – MARS Lite Base Sales Reporting Only (Includes up to [ ] one year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) • $[ ]/month (AUM $[ ] - – $[ ]) • $[ ]/month (AUM $[ ] - – $[ ]) • $[ ]/month (AUM $[ ] - – $[ ]) • $[ ]/month (AUM $[ ] - – $[ ]) Once an AUM of $[ ] ]has been reached, additional fees will be negotiated. 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 & 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 • $[ ] /day plus travel and out-of-pocket expenses expenses. •• ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. lnforma Transfer Agent & Shareholder Services Additional Services Fee Schedule (Continued) Informa Shareholder Electronic Statement Services Electronic Confirm Presentation 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. • Document Loading, Storage, and Access - – $[ ] per statement ■ • Document Consent Processing, Suppression, and Notification - – $[ ] per suppressed statement • Development & Implementation of Electronic Confirm Statements - – $[ ] 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 statement ■ • Document Consent Processing, Suppression, and Notification - – $[ ] ]per suppressed statement • Development & Implementation of Electronic Investor Statements - – $[ ] initial setup fee Electronic Tax Presentation 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 statement • Document Consent Processing, Suppression, and Notification - – $[ ] per suppressed 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, 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 fee. Archive fee of $[ ] ]per document per year for [ ] three years and greater, if desired Digital Investor customization charges applyapply *Subject to annual CPI increase – All Urban Consumers – U.S. City Average Advisor’s Signature below acknowledges approval of the fee schedules on this Amended Exhibit EE. OTTER CREEK ADVISORS, LLC By:_______________________________ Name:____________________________
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)
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-§ 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 user per month beyond [ ] 2 users included as part of setup Additional Data Delivery Services ■ § Ad Hoc/PowerSelect File Development - Standard 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/reports scheduled for delivery via Report Source. - Recurring files scheduled for delivery via Report Source. ■ § Custom Electronic File Exchange (MFS delivery of standard TIP files) - Setup: $[ ] one-time fee - Support: $[ ] 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. Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust Electronic Form Delivery and Signature Capture ■ § Implementation fee - – $[ ] (includes [ ] 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 - $[ ] per month • § Physical Network- 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 - $[ ] per ID per month ■ § TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) -Account – Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. - $[ ] implementation - $[ ] per ID per month ■ § TA2000 SmartDesk (Web Application to TA2000 Mainframe)- Mainframe) – Account inquiry only. - $[ ] implementation - $[ ] per ID per month ■ § 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- SOL § 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 ■ § $[ ] per month administration • § $[ ] per received email correspondence Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust 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 § 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 reviews. • § $[ ] per Month Mutual Fund Profile II Services Initial data review and population as well as ongoing support of information on DTCC's ’s Mutual Fund Profile II site ■ § Initial data population: $[ ] for less than [ ] CUSIPS / $[ ] for [ ] CUSIPS or more • § Monthly maintenance: $[ ] per management company ■ § Additional project fees may apply for events such as fund acquisitions, multiple fund /share fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $250/[ ] hour Physical Certificate Processing Services to support the setup and processing of physical certificated shares for a fund family family: ■ § $[ ] setup per fund group ■ § $[ ] per certificate transaction Fund Event* Services ■ § Programming & File Delivery - – $[ ]] /hour ■ § Project Management/Analysis - – $[ ]] /hour ■ § Account Data Retention - – $[ ]/account] 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 Agent)*FINCEN regulations require account retention for [ ] months following closing. Data is purged the first July after retention requirements have been fulfilled fulfilled. Exhibit D (continued) to the Transfer Agent Servicing Agreement-PENN Capital Funds Trust MARS Sales Reporting & Compliance Services Standard MARS Version Bi 8i Implementation Cost m § $[ ] - – $[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to to[ ] year of DST/TA2000 data) Standard MARS Version Bi 8i Products & Services (Monthly fees) II § $[ ] - – $[ ] MARS Sales & Compliance Reporting (Includes [ ] Sales & [ ] Compliance Users) III § $[ ] - – $[ ] MARS Sales Reporting (Includes [ ] Sales Users) · § $[ ] - – $[ ] MARS 22c-2 Compliance (Includes [ ] Compliance Users) m § $[ ] - – $[ ] - – Enhanced Services* Includes up to [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm 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 Bi 8i System Setup & Implementation Costs (One-time fee) 11 § $[ ] - – XxxxxXxxxx.xxx Integration II § $[ ] - – Custom Data Interface II § $[ ] - – OmniSERV Setup &I § $[ ] - – Standard Interface 11 § $[ ] - – Additional OmniSERV Interface Standard Version Bi 8i Licenses (Monthly Fee Per User) • § $[ ] - – Sales Reporting • § $[ ] - – 22c-2 Compliance • § $[ ]-CRM • ] – CRM § $[ ]- 75 – SFDC 8 Standard Version Bi 8i Products & Services (Monthly Fee) " § $[ ] - – OmniSERV § $[ ] - – Daily Transaction Load from Sales Portal II § $[ ] - – Monthly Asset Load from Sales Portal • § $[ ] - – XxxxxXxxxx.xxx Additional Version Bi 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 XXX DTT Data Line, Profiling, and RIA Monthly Load. MARS Lite Implementation Cost- Cost – Eligibility Based on AUM and Transaction Size 11 § $[ ] - – MARS Lite Base Sales Reporting Only (Includes up to [ ] year of DST/TA2000 data) MARS Lite Products & Services (Monthly fees based on AUM) • § $[ ]] /month (AUM $[ ] - – $[ ]) • § $[ ]] /month (AUM $[ ] - – $[ ]) • § $[ ]] /month (AUM $[ ] - – $[ ]) • § $[ ]] /month (AUM $[ ] - – $[ ]) Once an AUM of $[ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to [ ] 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 [ ]] GB of data. Each additional [ ]] GB of storage space is $[ ] per month. No CRM real-time integration. No system access. Additional MARS Lite System Setup & 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 • § $[ ] /day plus travel and out-of-pocket expenses expenses. •• ** Any additional costs that may be charged by intermediaries/NSCC for data fees are not included. lnforma Informa Shareholder Electronic Statement Services Electronic Confirm Presentation 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. • § Document Loading, Storage, and Access - – $[ ] per statement ■ § Document Consent Processing, Suppression, and Notification - – $[ ] per suppressed statement • § Development & Implementation of Electronic Confirm Statements - – $[ ] 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 statement ■ § Document Consent Processing, Suppression, and Notification - – $[ ] per suppressed statement • § Development & Implementation of Electronic Investor Statements - – $[ ] initial setup fee Electronic Tax Presentation 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 statement • § Document Consent Processing, Suppression, and Notification - – $[ ] per suppressed 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, 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 [ ] years and greater, if desired Digital Investor customization charges applyview
Appears in 1 contract
