Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § $[ ] per monthly report Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement - Bxxxx Advisory Funds June Services 2015 through May Services, 2018 FAF Money Market Fund Service Organizations § $[ ] /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (Cap at $[ ] /request) (This fee applies to requests for statements older than the prior year) Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training § WebEx - $[ ] /user § On Site at USBFS - $[ ] /day § At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] /hour ([ ] hour estimate) - Recurring (per feed) - $[ ] /month CTI Reporting – Integrated custom detailed call reporting) § $[ ] /monthly report § Amended Exhibit C (continued) to the § Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM - Fees on or after October 1, 2015 Bxxxx Advisory MARS Lite Setup and Implementation System Version 7i Implementation Cost n $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to [ ] years of DST/TA2000 data) Product & Services (Monthly fee) n $[ ] – Sales & Compliance Reporting Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for US Bank, Schwab, Fidelity and OmniServ. This also includes sending monthly asset report monthly to Bxxxx Advisory for internal CRM tool if necessary via e-mail. If FTP is necessary, then a system upgrade would need to be processed at additional costs. Does not provide user access or CRM functionality. Additional System Setup & Implementation Costs (One-time fee). n $[ ] – Custom Data Interface Setup (cost per interface) n $[ ] – Standard Interface Setup (cost per interface) n $[ ] – OmniServ Setup (In addition to the current $[ ] that DTCC/NSCC will charge to setup OmniServ) n $[ ] – Additional OmniServ Interface MARS Training (At Bxxxx Advisory Offices rather than Web Ex) n $[ ] /day plus travel and out-of-pocket expenses if required Software or Report Customization Software or Report Customization is only if Bxxxx Advisory is asking for SalesFocus (MARS) to make a change to the system. Running reports and making customizations in-house would not generate an additional charge. Running reports and making customization in-house is included in the base fee for enhanced services above under Product & Services. n $[ ] /hour Upgrades & Enhancements n Quoted separately through a Statement of Work Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM – Fees on or after October 1, 2015 Service Level Goals After the implementation clean-up is complete the following information can be sent via E-mail at the specified goals. If FTP is required, a system enhancement would be required at additional costs. n Daily transactions completed by 1 pm cst. n Daily flagged trades completed by 2 pm cst. n Client requests (received by 3:30 pm cst) responded to same day. n Monthly assets completed by the 18th of the month. All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Exhibit D to the Transfer Agent Servicing Agreement – Bxxxx Advisory Funds DATA WAREHOUSE SERVICES
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Brown Advisory Funds)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § $[ ] per monthly report § Amended Exhibit C (continued) to the § Transfer Agent Servicing Agreement - Bxxxx Advisory Funds § June Services 2015 through May Services, 2018 FAF Money Market Fund Service Organizations § $[ ] /money market share class per year § Out-of-pocket Miscellaneous expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (Cap at $[ ] /request) (This fee applies to requests for statements older than the prior year) Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training § WebEx - $[ ] /user § On Site at USBFS - $[ ] /day § At Client Location - $[ ] /day plus travel and out-of-pocket miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] /hour ([ ] hour estimate) - Recurring (per feed) - $[ ] /month CTI Reporting – Integrated custom detailed call reporting) § $[ ] /monthly report § Amended Exhibit C (continued) to the § Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM - Fees on or after October 1, 2015 Bxxxx Advisory MARS Lite Setup and Implementation System Version 7i Implementation Cost n $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to [ ] years of DST/TA2000 data) Product & Services (Monthly fee) n $[ ] – Sales & Compliance Reporting Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for US Bank, Schwab, Fidelity and OmniServ. This also includes sending monthly asset report monthly to Bxxxx Advisory for internal CRM tool if necessary via e-mail. If FTP is necessary, then a system upgrade would need to be processed at additional costs. Does not provide user access or CRM functionality. Additional System Setup & Implementation Costs (One-time fee). n $[ ] – Custom Data Interface Setup (cost per interface) n $[ ] – Standard Interface Setup (cost per interface) n $[ ] – OmniServ Setup (In addition to the current $[ ] that DTCC/NSCC will charge to setup OmniServ) n $[ ] – Additional OmniServ Interface MARS Training (At Bxxxx Advisory Offices rather than Web Ex) n $[ ] /day plus travel and out-of-pocket miscellaneous expenses if required Software or Report Customization Software or Report Customization is only if Bxxxx Advisory is asking for SalesFocus (MARS) to make a change to the system. Running reports and making customizations in-house would not generate an additional charge. Running reports and making customization in-house is included in the base fee for enhanced services above under Product & Services. n $[ ] /hour Upgrades & Enhancements n Quoted separately through a Statement of Work § Amended Exhibit C (continued) to the § Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM – Fees on or after October 1, 2015 Service Level Goals After the implementation clean-up is complete the following information can be sent via E-mail at the specified goals. If FTP is required, a system enhancement would be required at additional costs. n Daily transactions completed by 1 [ ] pm cst. n Daily flagged trades completed by 2 [ ] pm cst. n Client requests (received by 3:30 [ ] pm cst) responded to same day. n Monthly assets completed by the 18th [ ] th of the month. All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Exhibit D to the Transfer Agent Servicing Agreement – Bxxxx Advisory Funds DATA WAREHOUSE SERVICES& Shareholder Services Supplemental Services Fee Schedule at March, 2017 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 [ ] CUSIP / $[ ] 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 $[ ] /hour
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Brown Advisory Funds)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § ◾ $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § ◾ $[ ] per monthly report Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement Chat Services ◾ Implementation Fee - Bxxxx Advisory Funds June Services 2015 through May Services, 2018 $[ ] ◾ Monthly Fee - $[ ] per month ◾ Per Chat Fee - $[ ] per chat or $[ ] per minute of chat FAF Money Market Fund Service Organizations § ◾ $[ ] /money market share class per year § Out-of-pocket ◾ Miscellaneous expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § ◾ $[ ] /qualified plan account or Cxxxxxxxx Xxxxxxxxx ESA account (Cap at $[ ] /SSN) § ◾ $[ ] /transfer to successor trustee § ◾ $[ ] /participant distribution (Excluding SWPs) § ◾ $[ ] /refund of excess contribution § ◾ $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § ◾ $[ ] /outgoing wire transfer or overnight delivery § ◾ $[ ] /telephone exchange § ◾ $[ ] /return check or ACH or stop payment § ◾ $[ ] /research request / per statement year requested per account (Cap at $[ ] /request) (This fee applies to research requests for statements older than the prior year) Real Time Cash Flow § ◾ Implementation (one time charge) & Recurring Charges (monthly) - − [ ] Users – $[ ] - − [ ] Users – $[ ] - − [ ] Users – $[ ] - − [ ] Users – $[ ] - − [ ] Users – $[ ] - − [ ] Users – $[ ] § ◾ Training § ◾ WebEx - $[ ] /user § ◾ On Site at USBFS - $[ ] /day § ◾ At Client Location - $[ ] /day plus travel and out-of-pocket miscellaneous expenses if required § ◾ Real Time Data Feeds - − Implementation (per feed) - $[ ] /hour ([ ] hour estimate) - − Recurring (per feed) - $[ ] /month CTI Reporting – Integrated custom detailed call reporting) § 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: $[ ] /monthly report § Amended Exhibit C (continued) to the § Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM - Fees on or after October 1, 2015 Bxxxx Advisory MARS Lite Setup and Implementation System Version 7i Implementation Cost n for less than [ ] CUSIP / $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to for [ ] years of DST/TA2000 data) Product & Services (CUSIPS or more ◾ Monthly fee) n maintenance: $[ ] – Sales & Compliance Reporting Includes Enhanced Services. Basic support componentsper management company (i.e., file import assistanceper Fund Complex) ◾ Additional project fees may apply for events such as fund acquisitions, data scrubbing (cleaning multiple fund/share class launches, share class charges and other large processing events outside of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for US Bank, Schwab, Fidelity and OmniServ. This also includes sending monthly asset report monthly to Bxxxx Advisory for internal CRM tool if necessary via e-mail. If FTP is necessary, then a system upgrade would need normal fund activity to be processed billed at additional costs. Does not provide user access or CRM functionality. Additional System Setup & Implementation Costs (One-time fee). n rate of $[ ] – Custom Data Interface Setup (cost per interface) n $[ ] – Standard Interface Setup (cost per interface) n $[ ] – OmniServ Setup (In addition to the current $[ ] that DTCC/NSCC will charge to setup OmniServ) n $[ ] – Additional OmniServ Interface MARS Training (At Bxxxx Advisory Offices rather than Web Ex) n $[ ] /day plus travel and out-of-pocket expenses if required Software or Report Customization Software or Report Customization is only if Bxxxx Advisory is asking for SalesFocus (MARS) to make a change to the system. Running reports and making customizations in-house would not generate an additional charge. Running reports and making customization in-house is included in the base fee for enhanced services above under Product & Services. n $[ ] /hour Upgrades & Enhancements n Quoted separately through a Statement of Work Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM – Fees on or after October 1, 2015 Service Level Goals After the implementation clean-up is complete the following information can be sent via E-mail at the specified goals. If FTP is required, a system enhancement would be required at additional costs. n Daily transactions completed by 1 pm cst. n Daily flagged trades completed by 2 pm cst. n Client requests (received by 3:30 pm cst) responded to same day. n Monthly assets completed by the 18th of the month. All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Exhibit D to the Transfer Agent Servicing Agreement – Bxxxx Advisory Funds DATA WAREHOUSE SERVICES/hour
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Brown Advisory Funds)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § $[ ] per monthly report Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement - Bxxxx Advisory Funds June Services 2015 through May Services, 2018 FAF Money Market Fund Service Organizations § $[ ] /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[ ] /qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] /SSN) § $[ ] /transfer to successor trustee § $[ ] /participant distribution (Excluding SWPs) § $[ ] /refund of excess contribution § $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § $[ ] /outgoing wire transfer or overnight delivery § $[ ] /telephone exchange § $[ ] /return check or ACH or stop payment § $[ ] /research request per account (Cap at $[ ] /request) (This fee applies to requests for statements older than the prior year) Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training § WebEx - $[ ] /user § On Site at USBFS - $[ ] /day § At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] /hour ([ ] hour estimate) - Recurring (per feed) - $[ ] /month CTI Reporting – Integrated custom detailed call reporting) § $[ ] /monthly report § Amended Exhibit C (continued) to the § Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM - Fees on or after October 1, 2015 Bxxxx Advisory MARS Lite Setup and Implementation System Version 7i Implementation Cost n $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to [ ] years of DST/TA2000 data) Product & Services (Monthly fee) n $[ ] – Sales & Compliance Reporting Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for US Bank, Schwab, Fidelity and OmniServ. This also includes sending monthly asset report monthly to Bxxxx Advisory for internal CRM tool if necessary via e-mail. If FTP is necessary, then a system upgrade would need to be processed at additional costs. Does not provide user access or CRM functionality. Additional System Setup & Implementation Costs (One-time fee). n $[ ] – Custom Data Interface Setup (cost per interface) n $[ ] – Standard Interface Setup (cost per interface) n $[ ] – OmniServ Setup (In addition to the current $[ ] that DTCC/NSCC will charge to setup OmniServ) n $[ ] – Additional OmniServ Interface MARS Training (At Bxxxx Advisory Offices rather than Web Ex) n $[ ] /day plus travel and out-of-pocket expenses if required Software or Report Customization Software or Report Customization is only if Bxxxx Advisory is asking for SalesFocus (MARS) to make a change to the system. Running reports and making customizations in-house would not generate an additional charge. Running reports and making customization in-house is included in the base fee for enhanced services above under Product & Services. n $[ ] /hour Upgrades & Enhancements n Quoted separately through a Statement of Work Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM – Fees on or after October 1, 2015 Service Level Goals After the implementation clean-up is complete the following information can be sent via E-mail at the specified goals. If FTP is required, a system enhancement would be required at additional costs. n Daily transactions completed by 1 pm cst. n Daily flagged trades completed by 2 pm cst. n Client requests (received by 3:30 pm cst) responded to same day. n Monthly assets completed by the 18th of the month. All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Exhibit D to the Transfer Agent Servicing Agreement – Bxxxx Advisory Funds DATA WAREHOUSE SERVICESreport
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Brown Advisory Funds)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § • $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § • $[ ] per monthly report Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement - Bxxxx Advisory Funds June Services 2015 through May Services, 2018 FAF Money Market Fund Service Organizations § • $[ ] /money market share class per year § Out-of-pocket • Miscellaneous expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § • $[ ] /qualified plan account or Cxxxxxxxx Xxxxxxxxx ESA account (Cap at $[ ] /SSN) § • $[ ] /transfer to successor trustee § • $[ ] /participant distribution (Excluding SWPs) § • $[ ] /refund of excess contribution § • $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § • $[ ] /outgoing wire transfer or overnight delivery § • $[ ] /telephone exchange § • $[ ] /return check or ACH or stop payment § • $[ ] /research request / per statement year requested per account (Cap at $[ ] /request) (This fee applies to research requests for statements older than the prior year) Real Time Cash Flow § • Implementation (one time charge) & Recurring Charges (monthly) - • [ ] Users – $[ ] - • [ ] Users – $[ ] - • [ ] Users – $[ ] - • [ ] Users – $[ ] - • [ ] Users – $[ ] - • [ ] Users – $[ ] § • Training § • WebEx - $[ ] /user § • On Site at USBFS - $[ ] /day § • At Client Location - $[ ] /day plus travel and out-of-pocket miscellaneous expenses if required § • Real Time Data Feeds - • Implementation (per feed) - $[ ] /hour ([ ] hour estimate) - • Recurring (per feed) - $[ ] /month CTI Reporting – Integrated custom detailed call reporting) § 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: $[ ] /monthly report § Amended Exhibit C (continued) to the § Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM - Fees on or after October 1, 2015 Bxxxx Advisory MARS Lite Setup and Implementation System Version 7i Implementation Cost n for less than [ ] CUSIP / $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to for [ ] years of DST/TA2000 data) Product & Services (CUSIPS or more • Monthly fee) n maintenance: $[ ] – Sales & Compliance Reporting Includes Enhanced Services. Basic support componentsper management company (i.e., file import assistanceper Fund Complex) • Additional project fees may apply for events such as fund acquisitions, data scrubbing (cleaning multiple fund/share class launches, share class charges and other large processing events outside of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for US Bank, Schwab, Fidelity and OmniServ. This also includes sending monthly asset report monthly to Bxxxx Advisory for internal CRM tool if necessary via e-mail. If FTP is necessary, then a system upgrade would need normal fund activity to be processed billed at additional costs. Does not provide user access or CRM functionality. Additional System Setup & Implementation Costs (One-time fee). n rate of $[ ] – Custom Data Interface Setup (cost per interface) n $[ ] – Standard Interface Setup (cost per interface) n $[ ] – OmniServ Setup (In addition to the current $[ ] that DTCC/NSCC will charge to setup OmniServ) n $[ ] – Additional OmniServ Interface MARS Training (At Bxxxx Advisory Offices rather than Web Ex) n $[ ] /day plus travel and out-of-pocket expenses if required Software or Report Customization Software or Report Customization is only if Bxxxx Advisory is asking for SalesFocus (MARS) to make a change to the system. Running reports and making customizations in-house would not generate an additional charge. Running reports and making customization in-house is included in the base fee for enhanced services above under Product & Services. n $[ ] /hour Upgrades & Enhancements n Quoted separately through a Statement of Work Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM – Fees on or after October 1, 2015 Service Level Goals After the implementation clean-up is complete the following information can be sent via E-mail at the specified goals. If FTP is required, a system enhancement would be required at additional costs. n Daily transactions completed by 1 pm cst. n Daily flagged trades completed by 2 pm cst. n Client requests (received by 3:30 pm cst) responded to same day. n Monthly assets completed by the 18th of the month. All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Exhibit D to the Transfer Agent Servicing Agreement – Bxxxx Advisory Funds DATA WAREHOUSE SERVICES/hour
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Brown Advisory Funds)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § ◾ $[ ] ]per Month CTI Reporting – Integrated custom detailed call reporting § ◾ $[ ] per monthly report Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement Chat Services ◾ Implementation Fee - Bxxxx Advisory Funds June Services 2015 through May Services, 2018 $[ ] ◾ Monthly Fee – $[ ] per month ◾ Per Chat Fee - $[ ] per chat or $[ ] per minute of chat FAF Money Market Fund Service Organizations § ◾ $[ ] /money market share class per year § Out-of-pocket ◾ Miscellaneous expenses (see Transfer Agent Fee Schedule) Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § ◾ $[ ] /qualified plan account or Cxxxxxxxx Xxxxxxxxx ESA account (Cap at $[ ] /SSN) § ◾ $[ ] /transfer to successor trustee § ◾ $[ ] /participant distribution (Excluding SWPs) § ◾ $[ ] /refund of excess contribution § ◾ $[ ] /reconversion/recharacterization Additional Shareholder Paid Fees § ◾ $[ ] /outgoing wire transfer or overnight delivery § ◾ $[ ] /telephone exchange § ◾ $[ ] /return check or ACH or stop payment § ◾ $[ ] /research request / per statement year requested per account (Cap at $[ ] /request) (This fee applies to research requests for statements older than the prior year) Real Time Cash Flow § ◾ Implementation (one time charge) & Recurring Charges (monthly) - − [ ] Users – $[ ] - − [ ] Users – $[ ] - − [ ] Users – $[ ] - − [ ] Users – $[ ] - − [ ] Users – $[ ] - − [ ] Users – $[ ] § ◾ Training § ◾ WebEx - $[ ] /user § ◾ On Site at USBFS - $[ ] /day § ◾ At Client Location - $[ ] /day plus travel and out-of-pocket miscellaneous expenses if required § ◾ Real Time Data Feeds - − Implementation (per feed) - $[ ] /hour ([ ] hour estimate) - − Recurring (per feed) - $[ ] /month CTI Reporting – Integrated custom detailed call reporting) § 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: $[ ] /monthly report § Amended Exhibit C (continued) to the § Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM - Fees on or after October 1, 2015 Bxxxx Advisory MARS Lite Setup and Implementation System Version 7i Implementation Cost n for less than [ ] CUSIP / $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to for [ ] years of DST/TA2000 data) Product & Services (CUSIPS or more ◾ Monthly fee) n maintenance: $[ ] – Sales & Compliance Reporting Includes Enhanced Services. Basic support componentsper management company (i.e., file import assistanceper Fund Complex) ◾ Additional project fees may apply for events such as fund acquisitions, data scrubbing (cleaning multiple fund/share class launches, share class charges and other large processing events outside of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for US Bank, Schwab, Fidelity and OmniServ. This also includes sending monthly asset report monthly to Bxxxx Advisory for internal CRM tool if necessary via e-mail. If FTP is necessary, then a system upgrade would need normal fund activity to be processed billed at additional costs. Does not provide user access or CRM functionality. Additional System Setup & Implementation Costs (One-time fee). n rate of $[ ] – Custom Data Interface Setup (cost per interface) n $[ ] – Standard Interface Setup (cost per interface) n $[ ] – OmniServ Setup (In addition to the current $[ ] that DTCC/NSCC will charge to setup OmniServ) n $[ ] – Additional OmniServ Interface MARS Training (At Bxxxx Advisory Offices rather than Web Ex) n $[ ] /day plus travel and out-of-pocket expenses if required Software or Report Customization Software or Report Customization is only if Bxxxx Advisory is asking for SalesFocus (MARS) to make a change to the system. Running reports and making customizations in-house would not generate an additional charge. Running reports and making customization in-house is included in the base fee for enhanced services above under Product & Services. n $[ ] /hour Upgrades & Enhancements n Quoted separately through a Statement of Work Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement - Bxxxx Advisory Funds MARS SystemTM – Fees on or after October 1, 2015 Service Level Goals After the implementation clean-up is complete the following information can be sent via E-mail at the specified goals. If FTP is required, a system enhancement would be required at additional costs. n Daily transactions completed by 1 pm cst. n Daily flagged trades completed by 2 pm cst. n Client requests (received by 3:30 pm cst) responded to same day. n Monthly assets completed by the 18th of the month. All additional costs that may be charged by intermediaries/NSCC for data feeds are not included. Exhibit D to the Transfer Agent Servicing Agreement – Bxxxx Advisory Funds DATA WAREHOUSE SERVICES/hour
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Brown Advisory Funds)
