Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[…]/year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[…]/hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SUPPLEMENTAL SERVICES - eCONNECT PLATFORM SERVICE FEE SCHEDULE eCONNECT is a Web-based platform featuring global content management, product distribution services, and digital print-on-demand technology. eCONNECT is accessible from any desktop, laptop, or mobile device so you can quickly and efficiently find, use, manage, and disseminate the information you need to maintain client relationships. System Implementation Cost § $[…]– Implementation of Literature Fulfillment Management System, Online Fulfillment System - Setup client rules, operating standards, email alerts, and inventory - Physical inventory conversion to USBFS platform Monthly Service Fee § $[…]– Standard monthly service fee § Portals are defined by a unique point of entry, navigation, and business rules 1-To-1 Electronic Marketing Delivery Fee Per Month § $[…]– Up to 1,000 § $[…]– Up to 2,500 § $[…]– Up to 5,000 § $[…]– Up to 10,000 § $[…]– Up to 20,000 § $[…]– Up to 50,000 § $[…]– Up to 100,000 Email Marketing (Message & Setup Fee Per Campaign) § $[…]– Up to 500 § $[…]– Up to 1,000 § $[…]– Up to 5,000 § $[…]– Up to 10,000 § $[…]– Per 1,000 over 10,000 eCONNECT Training § WebEx - $[…]/user § On Site at USBFS - $[…]/day § At Client Location - $[…]/day plus travel and out-of-pocket expenses if required Specialized Programming – Cost based on project requirements.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[…]_____ /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[…]_____ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit M C (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at August, 2012 Transfer Agent Training Services § On-site at USBFS - $_____ /day § At Client Location - $_____ /day plus travel and out-of-pocket expenses if required Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. Fees will be applied if the fund(s) have a redemption fee. § 90 days or less: $_____ /open account § 91-180 days: $_____ /open account § 181-270 days: $_____ /open account § 271 days – 1 year: $_____ /open account § 1 year – 2 years: $_____ /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts based upon an average cost single category basis calculation. § $_____ /direct open account per year Excessive Trader – Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. § $_____ setup /fund group of 1-5 funds, $_____ setup /fund group of over 5 funds § $_____ /account per year 12b-1 Distribution Fee Aging – Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age will be charged at $_____ per open account per year. Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $_____ setup /fund group § $_____ /month administration § $_____ /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $_____ /fund group per month Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. § Setup - $_____ /fund group § Annual Fee - $_____ /open and closed account Literature Fulfillment Services* § Account Management − $_____ /month (account management, lead reporting and database administration) § Inbound Teleservicing Only − Account Management - $_____ /month − Call Servicing - $_____ /minute § Lead Conversion Reporting (Closed Loop) − Account Management- $_____ /month − Database Installation, Setup -$_____ /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $_____ /monthly report Exhibit C (continued) to the Transfer Agent Servicing Agreement - Samson TRANSFER AGENT & SHAREHOLDER SERVICES - SUPPLEMENTAL SERVICES FEE SCHEDULE at August, 2012 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) Physical Certificate Processing – Services to support the setup and processing of physical certificated shares for a fund family: § $_____ setup/fund group § $_____ /certificate transaction Same Day Cash Management § Setup: $_____ (Access via Internet VPN) § Service: $_____ /user per month Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – $_____ - 10 Users – $_____ - 20 Users – $_____ - 30 Users – $_____ - 40 Users – $_____ - 50 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 (8 hour estimate) Recurring (per feed) - $_____ /month CUSIP Setup § Subsequent CUSIP Setup - $_____ /CUSIP § Expedited CUSIP Setup - $_____ /CUSIP (Less than 35 days) Exhibit C (continued) to the Transfer Agent Servicing Agreement - Samson eCONNECT PLATFORM SERVICE FEE SCHEDULE at August, 2012 eCONNECT is a Web-based platform featuring global content management, product distribution services, and digital print-on-demand technology. eCONNECT is accessible from any desktop, laptop, or mobile device so you can quickly and efficiently find, use, manage, and disseminate the information you need to maintain client relationships. System Implementation Cost § $[…]_____ – Implementation of Literature Fulfillment Management System, Online Fulfillment System - Setup client rules, operating standards, email alerts, and inventory - Physical inventory conversion to USBFS platform Monthly Service Fee § $[…]_____ – Standard monthly service fee § Portals are defined by a unique point of entry, navigation, and business rules 1-To-1 Electronic Marketing Delivery Fee Per Month § $[…]_____ – Up to 1,000 § $[…]_____ – Up to 2,500 § $[…]_____ – Up to 5,000 § $[…]_____ – Up to 10,000 § $[…]_____ – Up to 20,000 § $[…]_____ – Up to 50,000 § $[…]_____ – Up to 100,000 Email Marketing (Message & Setup Fee Per Campaign) § $[…]_____ – Up to 500 § $[…]_____ – Up to 1,000 § $[…]_____ – Up to 5,000 § $[…]_____ – Up to 10,000 § $[…]_____ – Per 1,000 over 10,000 eCONNECT Training § WebEx - $[…]_____ /user § On Site at USBFS - $[…]_____ /day § At Client Location - $[…]_____ /day plus travel and out-of-pocket expenses if required Specialized Programming – Cost based on project requirements.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[…][ ] /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[…][ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 [ ] hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 [ ] hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Amended Exhibit M E (continued) to the Managed Portfolio Advisors Series Trust Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at September, 2015 Transfer Agent Training Services § On-site at USBFS - $[ ] /day § At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts based upon an average cost single category basis calculation. § $[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] setup /fund group § $[ ] /month administration § $[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[ ] /fund group per month Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. § Setup - $[ ] /fund group § Annual Fee - $[ ] /open and closed account Literature Fulfillment Services* § Account Management − $[ ] /month (account management, lead reporting and database administration) § Inbound Teleservicing Only − Account Management - $[ ] /month − Call Servicing - $[ ] /minute § Lead Conversion Reporting (Closed Loop) − Account Management - $[ ] /month − Database Installation, Setup - $[ ] /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $[ ] /monthly report Amended Exhibit E (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE (continued) at September, 2015 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 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 account (Cap at $[ ] /request) (This fee applies to requests for statements older than the prior year) Physical Certificate Processing – Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup/fund group § $[ ] /certificate transaction Same Day Cash Management § Setup: $[ ] (Access via Internet VPN) § Service: $[ ] /user per month 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 Amended Exhibit E (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Transfer Agent and Shareholder Services MARS SALES REPORTING & COMPLIANCE SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at September, 2015 System Implementation Cost § $[ ] - MARS Base 22c-2 Compliance Only Module § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes TA2000 data. Additional NSCC transaction charges or other potential intermediary charges are not included.) Products & Services (Monthly fee) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) Additional System Setup & Implementation Costs (One-time fee) § $[ ] – Handheld Server Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – Google Maps Integration Setup § $[ ] – Xxxxxx Analytics Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – Custom Data Interface Setup (cost per interface) Additional Licenses (Monthly fee per user) § $[ ] – CRM User § $[ ] – Compliance User § $[ ] – Sales Reporting User § $[ ] – Omnibus Reconciliation User § $[ ] – Handheld User Additional Module Services (Monthly per user unless otherwise noted) § $[ ] – Customer/Account Module (included with Compliance Module) § $[ ] – Data Quality Module (only one license needed) § $[ ] – Profile Module (only one license needed) § $[ ] – Multiple Windows Module (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – Xxxxxx Analytics (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Mapping Integration Module – Google Maps (up to 10 users) § $[ ] – RIA Monthly Load § $[ ] – Schwab DSA Automated File Load § $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Schwab/Fidelity/TD Ameritrade Daily Compliance Portal Load MARS Training § $[ ] /day plus travel and out-of-pocket expenses if required Software or Report Customization § $[ ] /hour Enhanced Support Services (Monthly fee) § $[ ] - $[ ] – 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. Amended Exhibit E (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Transfer Agent and Shareholder Services INFORMA ELECTRONIC SHAREHOLDER STATEMENT SERVICES FEE SCHEDULE at September, 2015 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 - $[ ] /statement § Document Consent Processing, Suppression, and Notification - $[ ] /suppressed statement § Development & Implementation of Electronic Confirm Statements - $[ ] initial setup fee Note: Quarterly minimum fee of $[ ]. 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 - $[ ] /statement § Document Consent Processing, Suppression, and Notification - $[ ] /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 - $[ ] /statement § Document Consent Processing, Suppression, and Notification - $[ ] /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 Loading, Storage, and Access § Document Consent Processing, Suppression, and Notification - $[ ] /suppressed statement § Development & Implementation of Electronic Compliance Documents - $[ ] initial setup fee Note: Annual compliance minimum fee of $[ ]. FAN Web Transaction Fees § View Consent Enrollment - $[ ] /transaction § Consent Enrollment - $[ ] /transaction § View Statements - $[ ] /view Notes: All pricing based upon contractual three-year term. Proposal is rough estimate based upon client request. Rates subject to change once formal business requirements are received and reviewed. Estimate is valid for 90 days based on the following conditions: § Document Loading, Storage and Access - Statements presented as PDF documents. Includes data preparation for web-based presentment, document loading, hot storage for two years (2) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. § Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. § Document Setup & Development Fees-- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT XXXX data feed. Applies to major classes of documents (x.x. xxxxx confirm, investor, and tax documents) and significantly different documents within a class (e.g. a high net worth statement). Document set up fees will be determined upon requirements gathering and defining project scope. § Consent options will be reflected on TA2000; Email tracking and reporting on TA2000 Electronic Media reports § Standard Development Fee- Fee assessed for any additional programming outside of the initial implementation scope or any additional post-production enhancements. $[ ] per hour. Amended Exhibit E (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Transfer Agent and Shareholder Services eCONNECT PLATFORM SERVICE FEE SCHEDULE at September, 2015 eCONNECT is a Web-based platform featuring global content management, product distribution services, and digital print-on-demand technology. eCONNECT is accessible from any desktop, laptop, or mobile device so you can quickly and efficiently find, use, manage, and disseminate the information you need to maintain client relationships. System Implementation Cost § $[…][ ] – Implementation of Literature Fulfillment Management System, Online Fulfillment System - Setup client rules, operating standards, email alerts, and inventory - Physical inventory conversion to USBFS platform Monthly Service Fee § $[…]500 – Standard monthly service fee § Portals are defined by a unique point of entry, navigation, and business rules 1-To-1 Electronic Marketing Delivery Fee Per Month § $[…][ ] – Up to 1,000 [ ] § $[…][ ] – Up to 2,500 [ ] § $[…][ ] – Up to 5,000 [ ] § $[…][ ] – Up to 10,000 [ ] § $[…][ ] – Up to 20,000 [ ] § $[…][ ] – Up to 50,000 [ ] § $[…][ ] – Up to 100,000 [ ] Email Marketing (Message & Setup Fee Per Campaign) § $[…][ ] – Up to 500 [ ] § $[…][ ] – Up to 1,000 [ ] § $[…][ ] – Up to 5,000 [ ] § $[…][ ] – Up to 10,000 [ ] § $[…][ ] – Per 1,000 [ ] over 10,000 [ ] eCONNECT Training § WebEx - $[…][ ] /user § On Site at USBFS - $[…][ ] /day § At Client Location - $[…][ ] /day plus travel and out-of-pocket expenses if required Specialized Programming – Cost based on project requirements.. Advisor’s Signature below acknowledges approval of the Transfer Agent fee schedules on this Amended Exhibit E for the Capital Advisors Funds. Capital Advisors, Inc. By:/s/ Xxxxx X. Xxxxxxxxx Xxxxx X. Xxxxxxxxx Chief Compliance Officer Date: December 23, 2015
Appears in 1 contract
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[…]] /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[…]] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Amended Exhibit M L (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SUPPLEMENTAL SERVICES - eCONNECT PLATFORM SERVICE FEE SCHEDULE eCONNECT is a Web-based platform featuring global content management, product distribution services, and digital print-on-demand technology. eCONNECT is accessible from any desktop, laptop, or mobile device so you can quickly and efficiently find, use, manage, and disseminate the information you need to maintain client relationships. System Implementation Cost § $[…]] – Implementation of Literature Fulfillment Management System, Online Fulfillment System - Setup client rules, operating standards, email alerts, and inventory - Physical inventory conversion to USBFS platform Monthly Service Fee § $[…]] – Standard monthly service fee § Portals are defined by a unique point of entry, navigation, and business rules 1-To-1 Electronic Marketing Delivery Fee Per Month § $[…]] – Up to 1,000 § $[…]] – Up to 2,500 § $[…]] – Up to 5,000 § $[…]] – Up to 10,000 § $[…]] – Up to 20,000 § $[…]] – Up to 50,000 § $[…]] – Up to 100,000 Email Marketing (Message & Setup Fee Per Campaign) § $[…]] – Up to 500 § $[…]] – Up to 1,000 § $[…]] – Up to 5,000 § $[…]] – Up to 10,000 § $[…]] – Per 1,000 over 10,000 eCONNECT Training § WebEx - $[…]] /user § On Site at USBFS - $[…]] /day § At Client Location - $[…]] /day plus travel and out-of-pocket expenses if required Specialized Programming – Cost based on project requirements.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[…]] /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[…]] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SUPPLEMENTAL SERVICES - eCONNECT PLATFORM SERVICE FEE SCHEDULE eCONNECT is a Web-based platform featuring global content management, product distribution services, and digital print-on-demand technology. eCONNECT is accessible from any desktop, laptop, or mobile device so you can quickly and efficiently find, use, manage, and disseminate the information you need to maintain client relationships. System Implementation Cost § $[…]] – Implementation of Literature Fulfillment Management System, Online Fulfillment System - Setup client rules, operating standards, email alerts, and inventory - Physical inventory conversion to USBFS platform Monthly Service Fee § $[…]] – Standard monthly service fee § Portals are defined by a unique point of entry, navigation, and business rules 1-To-1 Electronic Marketing Delivery Fee Per Month § $[…]] – Up to 1,000 § $[…]] – Up to 2,500 § $[…]] – Up to 5,000 § $[…]] – Up to 10,000 § $[…]] – Up to 20,000 § $[…]] – Up to 50,000 § $[…]] – Up to 100,000 Email Marketing (Message & Setup Fee Per Campaign) § $[…]] – Up to 500 § $[…]] – Up to 1,000 § $[…]] – Up to 5,000 § $[…]] – Up to 10,000 § $[…]] – Per 1,000 over 10,000 eCONNECT Training § WebEx - $[…]] /user § On Site at USBFS - $[…]] /day § At Client Location - $[…]] /day plus travel and out-of-pocket expenses if required Specialized Programming – Cost based on project requirements.. 7
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[…]] /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[…]] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SUPPLEMENTAL SERVICES - eCONNECT PLATFORM SERVICE FEE SCHEDULE at March, 2017 eCONNECT is a Web-based platform featuring global content management, product distribution services, and digital print-on-demand technology. eCONNECT is accessible from any desktop, laptop, or mobile device so you can quickly and efficiently find, use, manage, and disseminate the information you need to maintain client relationships. System Implementation Cost § $[…]] – Implementation of Literature Fulfillment Management System, Online Fulfillment System - Setup client rules, operating standards, email alerts, and inventory - Physical inventory conversion to USBFS platform Monthly Service Fee § $[…]] – Standard monthly service fee § Portals are defined by a unique point of entry, navigation, and business rules 1-To-1 Electronic Marketing Delivery Fee Per Month § $[…]] – Up to 1,000 § $[…]] – Up to 2,500 § $[…]] – Up to 5,000 § $[…]] – Up to 10,000 § $[…]] – Up to 20,000 § $[…]] – Up to 50,000 § $[…]] – Up to 100,000 Email Marketing (Message & Setup Fee Per Campaign) § $[…]] – Up to 500 § $[…]] – Up to 1,000 § $[…]] – Up to 5,000 § $[…]] – Up to 10,000 § $[…]] – Per 1,000 over 10,000 eCONNECT Training § WebEx - $[…]] /user § On Site at USBFS - $[…]] /day § At Client Location - $[…]] /day plus travel and out-of-pocket expenses if required Specialized Programming – Cost based on project requirements.
Appears in 1 contract
Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)
Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[…][ ] /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[…][ ] /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 [ ] hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 [ ] hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Amended Exhibit M E (continued) to the Managed Portfolio Advisors Series Trust Transfer Agent Servicing Agreement Exhibit E (continued) to the TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at September, 2015 Transfer Agent Training Services § On-site at USBFS - $[ ] /day § At Client Location - $[ ] /day plus travel and out-of-pocket expenses if required Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts based upon an average cost single category basis calculation. § $[ ] /direct open account per year Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $[ ] setup /fund group § $[ ] /month administration § $[ ] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $[ ] /fund group per month Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. § Setup - $[ ] /fund group § Annual Fee - $[ ] /open and closed account Literature Fulfillment Services* § Account Management − $[ ] /month (account management, lead reporting and database administration) § Inbound Teleservicing Only − Account Management - $[ ] /month − Call Servicing - $[ ] /minute § Lead Conversion Reporting (Closed Loop) − Account Management - $[ ] /month − Database Installation, Setup - $[ ] /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $[ ] /monthly report Amended Exhibit E (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Exhibit E (continued) to the TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at September, 2015 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 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 account (Cap at $[ ] /request) (This fee applies to requests for statements older than the prior year) Physical Certificate Processing – Services to support the setup and processing of physical certificated shares for a fund family: § $[ ]setup/fund group § $[ ] /certificate transaction Same Day Cash Management § Setup: $[ ] (Access via Internet VPN) § Service: $[ ] /user per month 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 Amended Exhibit E (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Exhibit E (continued) to the Transfer Agent and Shareholder Services MARS SALES REPORTING & COMPLIANCE SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at September, 2015 System Implementation Cost § $[ ] - MARS Base 22c-2 Compliance Only Module § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes TA2000 data. Additional NSCC transaction charges or other potential intermediary charges are not included.) Products & Services (Monthly fee) § $[ ] – MARS Sales Reporting (includes 5 users) § $[ ] – MARS Compliance Reporting (includes 5 users) § $[ ] – MARS Sales & Compliance Reporting (includes 5 users & 5 compliance users) Additional System Setup & Implementation Costs (One-time fee) § $[ ] – Handheld Server Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – Google Maps Integration Setup § $[ ] – Xxxxxx Analytics Integration Setup § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – Custom Data Interface Setup (cost per interface) Additional Licenses (Monthly fee per user) § $[ ] – CRM User § $[ ] – Compliance User § $[ ] – Sales Reporting User § $[ ] – Omnibus Reconciliation User § $[ ] – Handheld User Additional Module Services (Monthly per user unless otherwise noted) § $[ ] – Customer/Account Module (included with Compliance Module) § $[ ] – Data Quality Module (only one license needed) § $[ ] – Profile Module (only one license needed) § $[ ] – Multiple Windows Module (only one license needed) § $[ ] – Document Management Module (only one license needed) § $[ ] – Xxxxxx Analytics (only one license needed) § $[ ] – CFG Fulfillment (only one license needed) § $[ ] – Mapping Integration Module – Google Maps (up to 10 users) § $[ ] – RIA Monthly Load § $[ ] – Schwab DSA Automated File Load § $[ ] – Schwab/Fidelity/TD Ameritrade Monthly Sales/Asset Portal Data Load § $[ ] – Schwab/Fidelity/TD Ameritrade Daily Compliance Portal Load MARS Training § $[ ] /day plus travel and out-of-pocket expenses if required Software or Report Customization § $[ ] /hour Enhanced Support Services (Monthly fee) § $[ ] - $[ ] – 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. Amended Exhibit E (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Exhibit E (continued) to the Transfer Agent and Shareholder Services INFORMA ELECTRONIC SHAREHOLDER STATEMENT SERVICES FEE SCHEDULE at September, 2015 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 - $[ ] /statement § Document Consent Processing, Suppression, and Notification - $[ ] /suppressed statement § Development & Implementation of Electronic Confirm Statements - $[ ] initial setup fee Note: Quarterly minimum fee of $[ ]. 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 - $[ ] /statement § Document Consent Processing, Suppression, and Notification - $[ ] /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 - $[ ] /statement § Document Consent Processing, Suppression, and Notification - $[ ] /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 Loading, Storage, and Access § Document Consent Processing, Suppression, and Notification - $[ ] /suppressed statement § Development & Implementation of Electronic Compliance Documents - $[ ] initial setup fee Note: Annual compliance minimum fee of $[ ]. FAN Web Transaction Fees § View Consent Enrollment - $[ ] /transaction § Consent Enrollment - $[ ] /transaction § View Statements - $[ ] /view Notes: All pricing based upon contractual three-year term. Proposal is rough estimate based upon client request. Rates subject to change once formal business requirements are received and reviewed. Estimate is valid for 90 days based on the following conditions: § Document Loading, Storage and Access - Statements presented as PDF documents. Includes data preparation for web-based presentment, document loading, hot storage for two years (2) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. § Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. § Document Setup & Development Fees-- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT XXXX data feed. Applies to major classes of documents (x.x. xxxxx confirm, investor, and tax documents) and significantly different documents within a class (e.g. a high net worth statement). Document set up fees will be determined upon requirements gathering and defining project scope. § Consent options will be reflected on TA2000; Email tracking and reporting on TA2000 Electronic Media reports § Standard Development Fee- Fee assessed for any additional programming outside of the initial implementation scope or any additional post-production enhancements. $[ ] per hour. Amended Exhibit E (continued) to the Advisors Series Trust Transfer Agent Servicing Agreement Exhibit E (continued) to the Transfer Agent and Shareholder Services eCONNECT PLATFORM SERVICE FEE SCHEDULE at September, 2015 eCONNECT is a Web-based platform featuring global content management, product distribution services, and digital print-on-demand technology. eCONNECT is accessible from any desktop, laptop, or mobile device so you can quickly and efficiently find, use, manage, and disseminate the information you need to maintain client relationships. System Implementation Cost § $[…][ ] – Implementation of Literature Fulfillment Management System, Online Fulfillment System - Setup client rules, operating standards, email alerts, and inventory - Physical inventory conversion to USBFS platform Monthly Service Fee § $[…][ ] – Standard monthly service fee § Portals are defined by a unique point of entry, navigation, and business rules 1-To-1 Electronic Marketing Delivery Fee Per Month § $[…][ ] – Up to 1,000 [ ] § $[…][ ] – Up to 2,500 [ ] § $[…][ ] – Up to 5,000 [ ] § $[…][ ] – Up to 10,000 [ ] § $[…][ ] – Up to 20,000 [ ] § $[…][ ] – Up to 50,000 [ ] § $[…][ ] – Up to 100,000 [ ] Email Marketing (Message & Setup Fee Per Campaign) § $[…][ ] – Up to 500 [ ] § $[…][ ] – Up to 1,000 [ ] § $[…][ ] – Up to 5,000 [ ] § $[…][ ] – Up to 10,000 [ ] § $[…][ ] – Per 1,000 [ ] over 10,000 [ ] eCONNECT Training § WebEx - $[…][ ] /user § On Site at USBFS - $[…][ ] /day § At Client Location - $[…][ ] /day plus travel and out-of-pocket expenses if required Specialized Programming – Cost based on project requirements.. Advisor’s Signature below acknowledges approval of the Transfer Agent fee schedules on this Amended Exhibit E for the Capital Advisors Funds. Capital Advisors, Inc. By: /s/ Xxxxxxxx X. Xxxxx Xxxxxxxx X. Xxxxx Managing Director Date: September 25, 2015
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Client Dedicated Line Data Access. For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[…]_____ /year per workstation for TA2000 AWD access § Data communications setup and monthly charges based upon location and bandwidth § Training billed at hourly rates plus out-of-pocket expenses Programming Charges § $[…]_____ /hour § Charges incurred for customized services based upon fund family requirements including but not limited to: - Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP - Conversion programming - Customized service development - Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family - All other client specific customization and/or development services Outbound Calling & Marketing Campaigns – Cost based on project requirements. Exhibit M C (continued) to the Managed Portfolio Series Trust for Professional Managers Transfer Agent Servicing Agreement – Dearborn TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at February, 2013 Transfer Agent Training Services § On-site at USBFS - $_____ /day § At Client Location - $_____ /day plus travel and out-of-pocket expenses if required Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. Fees will be applied if the fund(s) have a redemption fee. § 90 days or less: $_____ /open account § 91-180 days: $_____ /open account § 181-270 days: $_____ /open account § 271 days – 1 year: $_____ /open account § 1 year – 2 years: $_____ /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts based upon an average cost single category basis calculation. § $_____ /direct open account per year Excessive Trader – Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. § $_____ setup /fund group of 1-5 funds, $_____ setup /fund group of over 5 funds § $_____ /account per year 12b-1 Distribution Fee Aging – Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age will be charged at $_____ per open account per year. Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $_____ setup /fund group § $_____ /month administration § $_____ /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $_____ /fund group per month Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. § Setup - $_____ /fund group § Annual Fee - $_____ /open and closed account Literature Fulfillment Services* § Account Management − $_____ /month (account management, lead reporting and database administration) § Inbound Teleservicing Only − Account Management - $_____ /month − Call Servicing - $_____ /minute § Lead Conversion Reporting (Closed Loop) − Account Management- $_____ /month − Database Installation, Setup -$_____ /fund group § Out-of-Pocket Expenses − Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. CTI Reporting – Integrated custom detailed call reporting § $_____ /monthly report Exhibit C (continued) to the Trust for Professional Managers Transfer Agent Servicing Agreement – Dearborn TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at February, 2013 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) Physical Certificate Processing – Services to support the setup and processing of physical certificated shares for a fund family: § $_____ setup/fund group § $_____ /certificate transaction Same Day Cash Management § Setup: $_____ (Access via Internet VPN) § Service: $_____ /user per month Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – $_____ - 10 Users – $_____ - 20 Users – $_____ - 30 Users – $_____ - 40 Users – $_____ - 50 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 (8 hour estimate) Recurring (per feed) - $_____ /month CUSIP Setup § Subsequent CUSIP Setup - $_____ /CUSIP § Expedited CUSIP Setup - $_____ /CUSIP (Less than 35 days) Exhibit C (continued) to the Trust for Professional Managers Transfer Agent Servicing Agreement – Dearborn eCONNECT PLATFORM SERVICE FEE SCHEDULE at February, 2013 eCONNECT is a Web-based platform featuring global content management, product distribution services, and digital print-on-demand technology. eCONNECT is accessible from any desktop, laptop, or mobile device so you can quickly and efficiently find, use, manage, and disseminate the information you need to maintain client relationships. System Implementation Cost § $[…]_____ – Implementation of Literature Fulfillment Management System, Online Fulfillment System - Setup client rules, operating standards, email alerts, and inventory - Physical inventory conversion to USBFS platform Monthly Service Fee § $[…]_____ – Standard monthly service fee § Portals are defined by a unique point of entry, navigation, and business rules 1-To-1 Electronic Marketing Delivery Fee Per Month § $[…]_____ – Up to 1,000 § $[…]_____ – Up to 2,500 § $[…]_____ – Up to 5,000 § $[…]_____ – Up to 10,000 § $[…]_____ – Up to 20,000 § $[…]_____ – Up to 50,000 § $[…]_____ – Up to 100,000 Email Marketing (Message & Setup Fee Per Campaign) § $[…]_____ – Up to 500 § $[…]_____ – Up to 1,000 § $[…]_____ – Up to 5,000 § $[…]_____ – Up to 10,000 § $[…]_____ – Per 1,000 over 10,000 eCONNECT Training § WebEx - $[…]_____ /user § On Site at USBFS - $[…]_____ /day § At Client Location - $[…]_____ /day plus travel and out-of-pocket expenses if required Specialized Programming – Cost based on project requirements.
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Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)
