Advisor Information Source Web Portal. $___ /fund per month § Specialized projects will be analyzed and an estimate will be provided prior to work being performed Chief Compliance Officer (MST) § $_____ /year Reorganization Expenses § $_____ - _____ estimate for drafting, review (internal as well as TPM counsel review) and filing. This estimate does not include proxy solicitation and review by Gxxxxxx & Kxxx. SEC §15(c) Reporting § $____ /fund per report – first class § $___ /additional class report Multiple Classes Add the following for each class beyond the first class: § __ basis point at each level § $_____ /class minimum Out-Of-Pocket Expenses Including but not limited to postage, stationery, programming, special reports, daily compliance testing systems expenses, proxies, insurance, EXXXX filing, retention of records, federal and state regulatory filing fees, expenses from Board of directors meetings, third party auditing and legal expenses, and conversion expenses (if necessary). Additional Services Available but not included above are the following services – legal administration, daily fund compliance testing, and daily performance reporting. Fees are billed monthly. *Subject to annual CPI increase, Milwaukee MSA. Advisor’s signature below acknowledges approval of the fee schedule on this Exhibit B. Xxxxxxx Associates, Inc. By: /s/ Pxxxx Xxxxxxx Date: February 10, 2010 Name: Pxxxx Xxxxxxx Title: COO/CCO interim, VP Exhibit B (continued) to the Fund Administration Servicing Agreement – Trust for Professional Managers FUND ADMINISTRATION & COMPLIANCE PORTFOLIO SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at January, 2010 Additional Services: § New fund launch – as negotiated based upon specific requirements § Subsequent new fund launch – $_____ /project § Subsequent new share class launch – $_____ /project § Multi-managed funds – as negotiated based upon specific requirements § Proxy – as negotiated based upon specific requirements Daily Pre- and Post-Tax Performance Reporting § Performance Service – $___ /CUSIP per month § Setup – $___ /CUSIP § Conversion – quoted separately § FTP Delivery – $____ setup /FTP site Daily Compliance Services (Cxxxxxx River) § Base fee – $____ /fund per year § Setup – $____ /fund group § Data Feed – $___ /security per month Advisor’s signature below acknowledges approval of the fee schedule on this Exhibit B. Xxxxxxx Associates, Inc. By: /s/ Pxxxx Xxxxxxx Date: February 10, 2010 Name: Pxxxx Xxxxxxx Title: COO/CCO interim, VP
Advisor Information Source Web Portal. (Monthly fee included in annual base fee schedule) · $[ ] /fund/month · Specialized projects will be analyzed and an estimate will be provided prior to work being performed. Plus Out-Of-Pocket Expenses – Including but not limited to postage, stationery, programming, special reports, daily compliance testing systems expenses, proxies, insurance, EXXXX filing, retention of records, federal and state regulatory filing fees, certain insurance premiums, expenses from board of directors meetings, third party auditing and legal expenses, conversion expenses (if necessary), and all other out-of-pocket expenses.
Advisor Information Source Web Portal. $150/month per fund for the first 12 months; then $250/month per fund after 12 months · Report customization and report creation will be an additional charge per hour
Advisor Information Source Web Portal. $______/fund per month § $______ /fund per month for clients using an external administration service § Specialized projects will be analyzed and an estimate will be provided prior to work being performed Chief Compliance Officer Support Fee* § $______ /year Out-Of-Pocket Expenses Including but not limited to pricing services, international corporate action services, fair value pricing services, factor services, customized reporting, and all other out-of-pocket expenses. Additional Services § Additional base fee of $______ for each additional class NOTE: All schedules subject to change depending upon the use of derivatives – options, futures, short sales, etc. Fees are billed monthly. * Subject to annual CPI increase, Milwaukee MSA. Amended Exhibit B (continued) to the Fund Accounting Servicing Agreement – Evermore Funds Trust FUND ACCOUNTING SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at August 1, 2011 Out-Of-Pocket Expenses § Pricing Services − $______ Domestic and Canadian Equities/Options − $______ Corp/Gov/Agency Bonds/International Equities/Futures − $______ CMOs/Municipal Bonds/Money Market Instruments/International Bonds − $______ /Fund per Day - Bank Loans − $______ /Fund per Day - Credit Default Swaps − $______ /Fund per Day - Basic Interest Rate Swaps − $______ /Fund per Month - Mutual Fund Pricing − $______ /Foreign Equity Security per Month for Corporate Action Service − $______ /Month Manual Security Pricing (>10/day) § Factor Services (BondBuyer) − $______ /CMO/Month − $______ /Mortgage Backed/Month − $______ /Month Minimum/Fund Group § Fair Value Services (FT Interactive) − $______ on the First 100 Securities/Day − $______ on the Balance of Securities/Day NOTE: Prices above are based on using IDC as the primary pricing service. Alternative source costs may vary.
Advisor Information Source Web Portal. $___ /fund per month § Specialized projects will be analyzed and an estimate will be provided prior to work being performed Poplar Forest Amended Exhibit T (continued) to the Advisors Series Trust Fund Administration Servicing Agreement FUND ACCOUNTING, FUND ADMINISTRATION & COMPLIANCE PORTFOLIO SERVICES FEE SCHEDULE (continued) Effective December 31, 2014 SEC §15(c) Reporting § $___ /fund per report – first class § $___ /additional class report
Advisor Information Source Web Portal. $___ /fund per month · Specialized projects will be analyzed and an estimate will be provided prior to work being performed. SEC §15(c) Reporting · $___/fund per report – first class · $___/additional class report Out-Of-Pocket Expenses – Including but not limited to postage, stationery, programming, special reports, daily compliance testing systems expenses, proxies, insurance, EXXXX filing, retention of records, federal and state regulatory filing fees, certain insurance premiums, expenses from Board of Directors meetings, third party auditing and legal expenses and conversion expenses (if necessary).
Advisor Information Source Web Portal. $[__] per year Conversion Charges ·Capped at one month’s minimum fees ·Waived; if contract is terminated prior to end of term, [__]% is due and payable to USBFS Plus Out-Of-Pocket Expenses – Including but not limited to postage, stationery, programming, special reports, daily compliance testing systems expenses, proxies, insurance, EXXXX filing, retention of records, federal and state regulatory filing fees, certain insurance premiums, expenses from board of directors meetings, auditing and legal expenses, conversion expenses (if necessary), and all other out-of-pocket expenses. Additional available services – see supplemental fee schedules Fees are billed monthly. Exhibit B to the Fund Administration Agreement FUND ADMINISTRATION CHIEF COMPLIANCE OFFICER SUPPORT SERVICES FEE SCHEDULE at 3/10/08 Chief Compliance Officer Support Services U.S. Bancorp provides support to the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLC. Indicated below are samples of functions performed by USBFS in this CCO support role: •Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services •CCO Portal – Web On-line Access to Fund CCO Documents •Daily Resource to Fund CCO, Fund Board, Advisor •Provide USBFS/USB Critical Procedures & Compliance Controls •Daily and Periodic Reporting •Periodic CCO Conference Calls •Dissemination of Industry/Regulatory Information •Client & Business Line CCO Education & Training •Due Diligence Review of USBFS Service Facilities •Quarterly USBFS Certification •Board Meeting Presentation and Board Support •Testing, Documentation, Reporting Annual Fee Schedule ·$[__] per year Fees are billed monthly. Exhibit B to the Fund Administration Agreement FUND ADMINISTRATION & COMPLIANCE SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE Supplemental Services are available upon written agreement of the parties at the fees set forth on this supplemental fee schedule SEC 15c Reporting · $[__] per fund per report – first class · $[__] per additional class report Electronic Board Materials · USBFS will establish a unique client board URL and load/maintain all fund board book data for the main fund board meetings and meetings for up to two separate committees · Up to [__] non-USBFS users including advisor, legal, audit, etc. · Complete application, data and us...
Advisor Information Source Web Portal. $[ ] /fund per month § Specialized projects will be analyzed and an estimate will be provided prior to work being performed SEC §15(c) Reporting § $[ ] /fund per report – first class § $[ ] /additional class report Out-Of-Pocket Expenses Including but not limited to postage, stationery, programming, special reports, daily compliance testing systems expenses, proxies, insurance, EXXXX filing, retention of records, federal and state regulatory filing fees, certain insurance premiums, expenses from board of directors meetings, third party auditing and legal expenses, conversion expenses (if necessary), and all other out-of-pocket expenses. Additional Services Available but not included above are the following services – multiple classes, legal administration, daily fund compliance testing, and daily performance reporting. Chief Compliance Officer (CCO) Annual Fee* § $[ ] /year per fund, regardless of the number of classes assuming [ ] funds Out-Of-Pocket Expenses Including but not limited to CCO team travel related costs to perform due diligence reviews at advisor or sub-advisor facilities. Fees are billed monthly. *NOT Subject to annual CPI increase, Milwaukee MSA. No advisor signature required as the fund administration fees are not changing at September 22, 2011.
Advisor Information Source Web Portal. $[ ] /fund/month · $[ ] /fund/month for clients using an external administration service · $[ ] /hour custom development – quoted based upon client requirements Extraordinary Services Quoted separately based upon requirements Includes monthly fund performance reporting. Daily performance reporting additional. Plus out-of-pocket expenses, including but not limited to: Postage, Stationery Programming, Special Reports Daily Compliance Testing Systems Expense Proxies, Insurance EXXXX filing Retention of records Federal and state regulatory filing fees Certain insurance premiums Expenses from board of directors meetings SEC 15c Reporting Auditing and legal expenses Blue Sky conversion expenses (if necessary) All other out-of-pocket expenses Advisor’s Signature not required as fees are not changing – only the Hxxxxx Small Intrinsic Value Fund & the Hxxxxx Small-Mid Cap Fund are being added.
Advisor Information Source Web Portal. $__ /fund/month · $__ /fund/month for clients using an external administration service Plus Out-Of-Pocket Expenses – Including but not limited to pricing services, corporate action services, fair value pricing services, factor services, customized reporting, and all other out-of-pocket expenses. · Pricing Services · $.__ Domestic and Canadian Equities · $.__ Options · $.__ Corp/Gov/Agency Bonds · $.__ CMO's · $.__ International Equities and Bonds · $.__ Municipal Bonds · $.__ Money Market Instruments · $ ___ /fund/month - Mutual Fund Pricing · $___ /equity Security/Month Corporate Actions · $___ /month Manual Security Pricing (>10/day) · Factor Services (BondBuyer) · $___ /CMO/month · $.__ /Mortgage Backed/month · $___ /month Minimum Per Fund Group · Fair Value Services (FT Interactive) · $.__ on the first 100 securities per day · $.__ on the balance of securities per day Additional Services – Above pricing is for standard services. Available but not included above are the following services – multiple class funds, master feeder products, international income funds, funds with multiple advisors/sub-advisors. Fees are billed monthly. * Subject to annual CPI increase, Milwaukee MSA. Exhibit P (continued) to the Separate Series of Advisor Series Trust Fund Accounting Agreement Phocas Financial Corporation Multiple Series Trust CHIEF COMPLIANCE OFFICER SERVICES FEE SCHEDULE effective 9/29/06 Chief Compliance Officer Support Services U.S, Bancorp provides the Chief Compliance Officer (CCO) of each fund serviced within the Multiple Series Trust. Indicated below are samples of functions performed by USBFS in this CCO role: • Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services • MST Chief Compliance Officer • MST Fund Board Liaison For All Compliance Matters • Daily Resource to Fund CCO, Fund Board, Advisor • Provide USBFS/USB Critical Procedures & Compliance Controls • Daily and Periodic Reporting • Periodic CCO Conference Calls • Dissemination of Industry/Regulatory Information • Client & Business Line CCO Education & Training • Due Diligence Review of USBFS Service Facilities • Quarterly USBFS Certification • Board Meeting Presentation and Board Support • Testing, Documentation, Reporting Chief Compliance Officer (CCO)* · $_____ per year per domestic fund · $_____ per year per international fund Fees are billed ...
