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 Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES (continued) FEE SCHEDULE 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) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULE

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Advisors Series Trust)

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) § Out-of-Pocket Expenses − Kit and order processing expenses, postage, and printing § Inbound Teleservicing Only − Account Management - $[…] /month − Call Servicing - $[…] /minute § Lead Conversion Reporting (Closed Loop) − Account ~~Management-~~ Management - $[…] /month − Database Installation, Setup -$- $[…] /fund group ~~§ Out-of-Pocket Expenses~~ − ~~Included but not limited to specialized programming, kit~~ Specialized Programming - (Separate Quote)* *Fees exclude postage and ~~order processing expenses, postage, and printing~~printing charges. ~~CTI Reporting – Integrated custom detailed call reporting § $[…] /monthly report~~ Amended Exhibit ~~M (continued)~~ E to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ FEE SCHEDULE at August, 2017 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) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULE)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

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) § Out-of-Pocket Expenses − Kit and order processing expenses, postage, and printing § 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~~ Specialized Programming - (Separate Quote)* *Fees exclude postage and ~~order processing expenses, postage, and printing~~printing charges. ~~CTI Reporting – Integrated custom detailed call reporting § $[…] /monthly report Amended~~ Exhibit ~~M (continued)~~ Z to the Professionally Managed ~~Portfolio Series~~ Portfolios Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ - FEE SCHEDULE at March, 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) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULE7

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Appears in 1 contract

Samples: Agent Servicing Agreement (Managed Portfolio Series)

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) § Out-of-Pocket Expenses − Kit and order processing expenses, postage, and printing § Inbound Teleservicing Only − Account Management - $[…] /month − Call Servicing - $[…] ]/minute § Lead Conversion Reporting (Closed Loop) − Account Management- $[…] ]/month − Database Installation, Setup ~~-$[~~-$[…~~] /fund~~ ]/fund group ~~§ Out-of-Pocket Expenses~~ − ~~Included but not limited to specialized programming, kit~~ Specialized Programming - (Separate Quote)* *Fees exclude postage and ~~order processing expenses, postage, and printing~~printing charges. ~~CTI Reporting – Integrated custom detailed call reporting § $[…] /monthly report Amended~~ Exhibit ~~M (continued)~~ J to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ - FEE SCHEDULE at May, 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) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULE)

Appears in 1 contract

Samples: Agent Servicing Agreement (Managed Portfolio Series)

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 ~~Amended~~ Exhibit M BB (continued) to the Professionally Managed ~~Portfolio Series~~ Portfolios Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ FEE SCHEDULE at March, 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~~ 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) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULE)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

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 $~~[…]~~ 1.50 per open account per year. Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ 1,500 setup /fund group § $~~[…]~~ 500 /month administration § $~~[…]~~ 4.00 /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. § $~~[…]~~ 1,000 /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 - $~~[…]~~ 35,000 /fund group § Annual Fee - $~~[…]~~ 0.17 /open and closed account Literature Fulfillment Services* § Account Management − $~~[…]~~ 250 /month (account management, lead reporting and database administration) § Out-of-Pocket Expenses − Kit and order processing expenses, postage, and printing § Inbound Teleservicing Only − Account Management - $~~[…]~~ 250 /month − Call Servicing - $~~[…]~~ 1.00 /minute § Lead Conversion Reporting (Closed Loop) − Account Management- $~~[…]~~ 500 /month − Database Installation, Setup ~~-$[…]~~ -$1,500 /fund group ~~§ Out-of-Pocket Expenses~~ − ~~Included but not limited to specialized programming, kit~~ Specialized Programming - (Separate Quote)* *Fees exclude postage and ~~order processing expenses, postage, and printing~~printing charges. ~~CTI Reporting~~ Kxxxxxx – ~~Integrated custom detailed call reporting § $[…] /monthly report Amended~~ 6/2012 Exhibit M CC (continued) to the ~~Managed Portfolio~~ Advisors Series Trust Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ FEE SCHEDULE at June, 2012 FAF Money Market Fund Service Organizations § $~~[…]~~ 15,000 /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 § $~~[…]~~ 15.00 /qualified plan account or Cxxxxxxxx ESA account (Cap at $~~[…]~~ 30.00 /SSN) § $~~[…]~~ 25.00 /transfer to successor trustee § $~~[…]~~ 25.00 /participant distribution (Excluding SWPs) § $~~[…]~~ 25.00 /refund of excess contribution § $~~[…]~~ 25.00 /reconversion/recharacterization Additional Shareholder Paid Fees § $~~[…]~~ 15.00 /outgoing wire transfer or overnight delivery § $~~[…]~~ 5.00 /telephone exchange § $~~[…]~~ 25.00 /return check or ACH or stop payment § $~~[…]~~ 5.00 /research request per account (Cap at $~~[…]~~25.00 /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: § $~~[…]~~ 750 setup/fund group § $~~[…]~~ 10.00 /certificate transaction Same Day Cash Management § Setup: $~~[…]~~ 1,500 (Access via Internet VPN) § Service: $~~[…]~~ 200 /user per month Real Time Cash Flow § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – $~~[…]~~ 3,750 - 10 Users – $~~[…]~~ 6,375 - 20 Users – $~~[…]~~ 10,500 - 30 Users – $~~[…]~~ 12,375 - 40 Users – $~~[…]~~ 13,500 - 50 Users – $~~[…]~~ 15,000 § Training - WebEx - $~~[…]~~ 500 /user - On Site at USBFS - $~~[…]~~ 1,500 /day - At Client Location - $~~[…]~~ 2,500 /day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $~~[…]~~ 225 /hour (8 hour estimate) Recurring (per feed) - $~~[…]~~ 375 /month ~~CUSIP Setup § Subsequent CUSIP Setup - $[…] /CUSIP §~~ Expedited CUSIP Setup - $~~[…]~~ 3,000 /CUSIP (Less than 35 days) ~~Amended~~ Kxxxxxx – 6/2012 Exhibit M CC (continued) to the ~~Managed Portfolio~~ Advisors Series Trust Transfer Agent Servicing Agreement ~~TRANSFER AGENT &~~ INFORMA ELECTRONIC SHAREHOLDER ~~SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE~~ STATEMENT SERVICES FEE SCHEDULE at June, 2012 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 - $0.08 /statement § Document Consent Processing, Suppression, and Notification - $0.35 /suppressed statement § Development & Implementation of Electronic Confirm Statements - $26,000 initial setup fee Note: Quarterly minimum fee of $500. 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 - $0.08 /statement § Document Consent Processing, Suppression, and Notification - $0.35 /suppressed statement § Development & Implementation of Electronic Investor Statements - $7,500 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 - $0.08 /statement § Document Consent Processing, Suppression, and Notification - $0.35 /suppressed statement § Development & Implementation of Electronic Tax Statements - $5,000 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 - $0.35 /suppressed statement § Development & Implementation of Electronic Compliance Documents - $6,000 initial setup fee Note: Annual compliance minimum fee of $6,000. FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. Transaction Fees § ~~FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation~~ View Consent Enrollment - $~~[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee~~ 0.03 /transaction § Consent Enrollment - $~~[…] /year~~ 0.13 /transaction § ~~FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation~~ View Statements - $~~[…] /fund group – includes up~~ 0.03 /view Notes: All pricing based upon contractual three-year term. Proposal is rough estimate based upon client request. Rates subject to ~~10 hours of technical/BSA support − Annual Base Fee~~ 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 - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etcStatements presented as PDF documents. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers Includes data preparation for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based ~~system~~ 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 ~~perform order~~ an ISP address. Suppression and ~~account inquiry~~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, ~~execute trades, print applications, review prospectuses~~AS, and ~~establish new accounts~~AT, utilizing a DST OUTPUT MXXX data feed. ~~§ Inquiry Only − Inquiry -~~ Applies to major classes of documents (e.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. $~~[…] /event − Per broker ID - $[…] /month~~ 187.50 per ~~ID § Transaction Processing − Implementation - $[…] /management company − Transaction~~ hour. Kxxxxxx – ~~purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended~~ 6/2012 Exhibit M CC (continued) to the ~~Managed Portfolio~~ Advisors Series Trust Transfer Agent Servicing Agreement ~~TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued)~~ eCONNECT PLATFORM SERVICE FEE ~~SCHEDULE~~SCHEDULE at June, 2012

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Advisors Series Trust)

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 Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES (continued) FEE SCHEDULE 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) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULEreport

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

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) § Out-of-Pocket Expenses − Kit and order processing expenses, postage, and printing § 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~~ Specialized Programming - (Separate Quote)* *Fees exclude postage and ~~order processing expenses, postage, and printing~~printing charges. ~~CTI Reporting – Integrated custom detailed call reporting § $[…] /monthly report~~ Amended Exhibit M BB (continued) to the ~~Managed Portfolio~~ Advisors Series Trust Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ - FEE SCHEDULE at December, 2011 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) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULE)

Appears in 1 contract

Samples: Advisors Series Trust (Advisors Series Trust)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

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 $~~[…]~~ XXXX per open account per year. Email Services – Services to capture, queue, monitor, service and archive shareholder email correspondence: § $~~[…]~~ XXXX setup /fund ~~group~~ grou § $~~[…] /month~~ XXXX/month administration § $~~[…] /received~~ XXXX/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. § $~~[…]~~ XXXX /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 - $~~[…]~~ XXXX /fund group § Annual Fee - $~~[…] /open~~ XXXX/open and closed account Literature Fulfillment Services* § Account Management − $~~[…]~~ XXXX /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~~ § Inbound Teleservicing Only − Account Management - $XXXX /month − Call Servicing - $XXXX/minute § Lead Conversion Reporting ~~– Integrated custom detailed call reporting §~~ (Closed Loop) − Account Management- $~~[…] /monthly report Amended~~ XXXX/month − Database Installation, Setup -$XXXX/fund group − Specialized Programming - (Separate Quote)* *Fees exclude postage and printing charges. Exhibit M D (continued) ~~to the Managed Portfolio Series~~ - Transfer Agent Servicing Agreement ~~TRANSFER AGENT~~ – Cxxx & ~~SHAREHOLDER SERVICES~~ Bxxxx Funds Trust SUPPLEMENTAL SERVICES ~~(continued)~~ FEE SCHEDULE ~~FAF~~ at April, 2012 Money Market Fund Service Organizations § $~~[…] /money~~ XXXX/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~~ XXXX/qualified plan account or Cxxxxxxxx ESA account (Cap at $~~[…] /SSN~~XXXX/SSN) § $~~[…] /transfer~~ XXXX/transfer to successor trustee § $~~[…] /participant~~ XXXX/participant distribution (Excluding SWPs) § $~~[…] /refund~~ XXXX/refund of excess contribution § $~~[…] /reconversion~~XXXX/reconversion/recharacterization Additional Shareholder Paid Fees § ~~$[…] /outgoing~~ $ XXXX/outgoing wire transfer or overnight delivery § ~~$[…] /telephone~~ $ XXXX/telephone exchange § ~~$[…] /return~~ $ XXXX/return check or ACH or stop payment § ~~$[…] /research~~ $ XXXX/research request per account (Cap at ~~$[…]/request~~$ XXXX/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: § ~~$[…]~~ $ XXXX setup/fund group § ~~$[…] /certificate~~ $ XXXX/certificate transaction Same Day Cash Management § Setup: $~~[…]~~ XXXX (Access via Internet VPN) § Service: $~~[…] /user~~ XXXX/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 – $[…]~~ XXXX § Training - § WebEx - $~~[…] /user -~~ XXXX/user § On Site at USBFS - $~~[…] /day -~~ XXXX/day § At Client Location - $~~[…] /day~~ XXXX/day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $~~[…]~~ XXXX /hour (8 hour estimate) - Recurring (per feed) - ~~$[…] /month~~ $ XXXX/month CUSIP Setup - § Subsequent CUSIP Setup - ~~$[…] /CUSIP~~ $ XXXX/CUSIP § Expedited CUSIP Setup - ~~$[…] /CUSIP~~ $ XXXX/CUSIP (Less than 35 days) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - CTI Reporting – Integrated custom detailed call reporting $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULEXXXX /monthly report

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Cook & Bynum Funds Trust)

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 $~~[…]~~ 1.50 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 − $~~[…]~~ 250 /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~~ Capital Advisors 6/2012 Exhibit M E-1 (continued) to the ~~Managed Portfolio Series Transfer Agent Servicing Agreement~~ TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ FEE SCHEDULE at June, 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) ~~Amended~~ Capital Advisors 6/2012 Exhibit M E-1 (continued) to the ~~Managed Portfolio Series~~ Transfer Agent ~~Servicing Agreement TRANSFER AGENT~~ and Shareholder Services MARS SALES REPORTING & ~~SHAREHOLDER~~ COMPLIANCE SERVICES SUPPLEMENTAL SERVICES ~~- E-COMMERCE SERVICES~~ FEE SCHEDULE ~~FAN Web Shareholder internet access to account information and~~ at June, 2012 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 ~~capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc.~~ charges or other potential intermediary charges are not included.) Products & Services (Monthly fee) § ~~FAN Web Premium~~ $___ – MARS Sales Reporting (~~Fund Groups over 50,000 open accounts~~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) § $~~[…] /fund group~~ ___ – ~~includes up to 25 hours of technical~~Handheld Server Setup § $___ – RIA Feed Setup § $___ – CFG Fulfillment Setup § $___ – Google Maps Integration Setup § $___ – Cxxxxx 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/~~BSA support − Annual Base Fee -~~ Account Module (included with Compliance Module) § $~~[…] /year~~ ___ – Data Quality Module (only one license needed) § ~~FAN Web Select~~ $___ – Profile Module (~~Fund Groups under 50,000 open accounts~~only one license needed) ~~− Implementation -~~ § $~~[…] /fund group~~ ___ – ~~includes~~ Multiple Windows Module (only one license needed) § $___ – Document Management Module (only one license needed) § $___ – Cxxxxx Analytics (only one license needed) § $___ – CFG Fulfillment (only one license needed) § $___ – Mapping Integration Module – Google Maps (up to 10 ~~hours of technical~~users) § $___ – RIA Monthly Load § $___ – Schwab DSA Automated File Load § $___ – Schwab/~~BSA support − Annual Base Fee~~ 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) § $___ - $~~[…] /year § FAN Web Direct~~ ___ – Basic support components, file import assistance, data scrubbing (~~API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions~~cleaning of firm, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account historyoffice, and ~~conduct financial transaction requests such as purchases~~rep information), ~~redemptions~~database query requests, compliance report monitoring/review/analysis, and ~~exchanges~~business requirements analysis. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Capital Advisors 6/2012 Exhibit M E-1 (continued) to the ~~Managed Portfolio Series~~ Transfer Agent ~~Servicing Agreement TRANSFER AGENT~~ and Shareholder Services INFORMA ELECTRONIC SHAREHOLDER STATEMENT SERVICES FEE SCHEDULE at June, 2012 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 - $___ /suppressed statement § Development & ~~SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES~~ Implementation of Electronic Confirm Statements - E$___ 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-~~COMMERCE SERVICES~~ 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 MXXX data feed. Applies to major classes of documents (e.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. Capital Advisors 6/2012 Exhibit E-1 (continued) to the Transfer Agent and Shareholder Services eCONNECT PLATFORM SERVICE FEE ~~SCHEDULE~~SCHEDULE at June, 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. Advisor’s Signature below acknowledges approval of the Transfer Agent fee schedules on this Exhibit E-1 for the Tactical Shares Dynamic Allocation Fund. Capital Advisors, Inc. By: /s/ Kxxxx X. Xxxxxxx Printed Name: Kxxxx X. Xxxxxxx Title: CEO Date: 07/09/2012

Appears in 1 contract

Samples: Advisors Series Trust (Advisors Series Trust)

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~~ ]/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 M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES (continued) FEE SCHEDULE 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) ~~Amended~~ Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] ]/fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] […] […] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] ]/fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] ]/year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] ]/hour § Activity (Session) Fees: − Inquiry - $[…] ]/event − Account Maintenance - $[…] ]/event − Transaction – financial transactions, reorder statements, etc. - $[…] ]/event − New Account Setup - $[…] ]/event (Not available with FAN Web Select) § Strong Authentication: − $[…] ]/month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] ]/event - Maintenance - $[…] ]/event - Transaction - $[…] ]/event - New Account Establishment Setup - $[…] ]/event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] ]/year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] ]/record or $[…] ]/user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] ]/event − Per broker ID - $[…] ]/month per ID § Transaction Processing − Implementation - $[…] ]/management company − Transaction – purchase, redeem, exchange, literature order - $[…] ]/event − New Account Setup – $[…] ]/event − Monthly Minimum Charge - $[…] /month ~~Amended~~ Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULE

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

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) § Out-of-Pocket Expenses − Kit and order processing expenses, postage, and printing § 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~~ Specialized Programming - (Separate Quote)* * Fees exclude postage and ~~order processing expenses, postage, and printing~~printing charges. ~~CTI Reporting – Integrated custom detailed call reporting § $[…] /monthly report~~ Amended Exhibit M CC (continued) to the ~~Managed Portfolio~~ Advisors Series Trust Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ - FEE SCHEDULE at June, 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) Amended Exhibit M CC (continued) to the ~~Managed Portfolio~~ Advisors Series Trust Transfer Agent Servicing Agreement ~~TRANSFER AGENT &~~ INFORMA ELECTRONIC SHAREHOLDER ~~SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE~~ STATEMENT SERVICES FEE SCHEDULE at June, 2012 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 Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. Transaction Fees § ~~FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation~~ View Consent Enrollment - $~~[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee~~ ___ /transaction § Consent Enrollment - $~~[…] /year~~ ___ /transaction § ~~FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation~~ View Statements - $~~[…] /fund group – includes up~~ ___ /view Notes: All pricing based upon contractual three-year term. Proposal is rough estimate based upon client request. Rates subject to ~~10 hours of technical/BSA support − Annual Base Fee~~ 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 - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etcStatements presented as PDF documents. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers Includes data preparation for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based ~~system~~ 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 ~~perform order~~ an ISP address. Suppression and ~~account inquiry~~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, ~~execute trades, print applications, review prospectuses~~AS, and ~~establish new accounts~~AT, utilizing a DST OUTPUT MXXX data feed. Applies to major classes of documents (e.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. § ~~Inquiry Only − Inquiry -~~ 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. $~~[…] /event − Per broker ID - $[…] /month~~ ___ per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month hour. Amended Exhibit M CC (continued) to the ~~Managed Portfolio~~ Advisors Series Trust Transfer Agent Servicing Agreement ~~TRANSFER AGENT~~ eCONNECT PLATFORM SERVICE FEE SCHEDULE at June, 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 & ~~SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES~~ Setup Fee Per Campaign) § $___ – Up to 500 § $___ – Up to 1,000 § $___ – Up to 5,000 § $___ – Up to 10,000 § $___ – Per 1,000 over 10,000 eConnect Training § WebEx - E$___ /user § On Site at USBFS - $___ /day § At Client Location - $___ /day plus travel and out-~~COMMERCE SERVICES (continued) FEE SCHEDULE~~of-pocket expenses if required

Appears in 1 contract

Samples: Advisors Series Trust (Advisors Series Trust)

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) § Out-of-Pocket Expenses − Kit and order processing expenses, postage, and printing § Inbound Teleservicing Only − Account Management - $[…] /month − Call Servicing - $[…] /minute § Lead Conversion Reporting (Closed Loop) − Account ~~Management-~~ Management - $[…] /month − Database Installation, Setup -$- $1[…] /fund group ~~§ Out-of-Pocket Expenses~~ − ~~Included but not limited to specialized programming, kit~~ Specialized Programming - (Separate Quote)* *Fees exclude postage and ~~order processing expenses, postage, and printing~~printing charges. ~~CTI Reporting – Integrated custom detailed call reporting § $[…] /monthly report~~ Amended Exhibit M H (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ FEE SCHEDULE at May, 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) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULE)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Appears in 1 contract

Samples: Agent Servicing Agreement (Managed Portfolio Series)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Advisors Series Trust)

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 MxXxxxxx 5 Amended Exhibit M BB (continued) to the Professionally Managed ~~Portfolio Series~~ Portfolios Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ FEE SCHEDULE at March, 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) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULE)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Appears in 1 contract

Samples: Advisors Series Trust (Advisors Series Trust)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

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~~ Client Web Data Access USBFS client on-line access to ~~capture, queue, monitor, service~~ fund and ~~archive shareholder email correspondence~~investor data through USBFS technology applications and data delivery and security software. § Setup: MFx Portal - $[ ] § Service - $~~[…] setup /fund group~~ [ ]/user per month § ~~$[…] /month administration § $[…] /received email correspondence Dealer Reclaim Services – Services reclaim fund losses due~~ Access to the ~~pricing differences for dealer trade adjustments such as between dealer placed trades~~ following systems included: − BDS – Statement Storage and ~~cancellations. There will be no correspondence charges related to this service.~~ Retrieval − ReportSource – Mainframe T/A Report Library − T/A Imaging – Thin Client AWD − FundSource – Comprehensive Fund Information − 3270 – T/A Mainframe Access § Custom Electronic File Exchange (DDS of delivery of TIP files) - $[…[ ] ~~/fund group~~ one time setup fee - $[ ]/file 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. maintenance fee Transfer Agent Training Services § ~~Setup~~ On-site at USBFS - $~~[…] /fund group~~ [ ]/day § ~~Annual Fee~~ At client location - $~~[…] /open~~ [ ]/day plus travel 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 § Outout-of-~~Pocket Expenses − Included but not limited to specialized programming, kit~~ pocket expenses Fees exclude postage and ~~order processing expenses, postage, and printing~~printing charges. ~~CTI Reporting – Integrated custom detailed call reporting § $[…] /monthly report Amended~~ Exhibit M C (continued) to the ~~Managed Portfolio Series~~ Transfer Agent Servicing Agreement – Aegis Value Fund, Inc. TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ FEE SCHEDULE ~~FAF Money Market Fund Service Organizations~~ at November, 2011 Physical Certificate Processing – Services to support the setup and processing of physical certificated shares for a fund family: § $[…[ ] ~~/money market share class~~ setup/fund group § $[ ]/certificate transaction Jumbo Pricing (JUMBO) – allows grouping of accounts for the purpose of calculating the advanced commission paid to a dealer. § $[ ]/account group per year ~~§ Out-of-pocket expenses~~ Expedited CUSIP Setup - $[ ]/CUSIP (~~see Transfer Agent Fee Schedule~~Less than 35 days) 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~~ Literature Fulfillment Services* § Account Management − $[ ]/month (account management, lead reporting and ~~processing of physical certificated shares for a fund family: § $[…] setup/fund group § $[…] /certificate transaction Same Day Cash Management § Setup: $[…] (Access via Internet VPN~~database administration) § 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 outOut-of-~~pocket expenses if required~~ Pocket Expenses − Kit and order processing expenses, postage, and printing § ~~Real Time Data Feeds - Implementation (per feed)~~ Inbound Teleservicing Only − Account Management - $~~[…] /hour (8 hour estimate) Recurring (per feed)~~ [ ]/month − Call Servicing - $~~[…] /month CUSIP Setup~~ [ ]/minute § ~~Subsequent CUSIP Setup - $[…] /CUSIP § Expedited CUSIP Setup - $[…] /CUSIP~~ Lead Conversion Reporting (Less than 35 days) Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink at the fund group web site. Shareholders access account information, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accountsClosed Loop) − ~~Implementation -~~ Account Management- $~~[…]~~ [ ]/month − Database Installation, Setup -$[ ]/fund group ~~– includes up to 25 hours of technical/BSA support − Annual Base Fee~~ Specialized Programming - ~~$[…] /year § FAN Web Select~~ (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULESeparate Quote)* SK 23261 0002 1239177

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Aegis Value Fund Inc)

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-~~ 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 M C (continued) to the ~~Managed Portfolio Series~~ Trust for Professional Managers Transfer Agent Servicing Agreement – Dearborn TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES ~~(continued)~~ FEE SCHEDULE at July 1, 2017 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~~ 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) - 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) ~~Amended~~ Exhibit M C (continued) to the ~~Managed Portfolio Series~~ Trust for Professional Managers Transfer Agent Servicing Agreement ~~TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES~~ – Dearborn eCONNECT PLATFORM SERVICE FEE SCHEDULE ~~FAN Web Shareholder internet access to account information and transaction capabilities through a hyperlink~~ at ~~the fund group web site. Shareholders access account information~~July 1, portfolio listing fund family, transaction history, purchase additional shares through ACH, etc. § FAN Web Premium (Fund Groups over 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 25 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Select (Fund Groups under 50,000 open accounts) − Implementation - $[…] /fund group – includes up to 10 hours of technical/BSA support − Annual Base Fee - $[…] /year § FAN Web Direct (API) – Quoted Separately § Customization - $[…] /hour § Activity (Session) Fees: − Inquiry - $[…] /event − Account Maintenance - $[…] /event − Transaction – financial transactions, reorder statements, etc. - $[…] /event − New Account Setup - $[…] /event (Not available with FAN Web Select) § Strong Authentication: − $[…] /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) FAN Web Mobile Access to account information and transaction capabilities through mobile internet devices. Shareholders can access portfolio summary, account balances, account history, and conduct financial transaction requests such as purchases, redemptions, and exchanges. § Initial Implementation Site Setup Fee - $[…] § Monthly Base Fee - $[…] § Transaction Fees: - Inquiry - $[…] /event - Maintenance - $[…] /event - Transaction - $[…] /event - New Account Establishment Setup - $[…] /event FAN Mail Financial planner mailbox provides transaction, account and price information to financial planners and small broker/dealers for import into a variety of financial planning software packages. § Base Fee Per Management Company – file generation and delivery - $[…] /year § Per Record Charge − Rep/Branch/ID - $[…] − Dealer - $[…] § Price Files - $[…] /record or $[…] /user per month, whichever is less Vision Mutual Fund Gateway Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only − Inquiry - $[…] /event − Per broker ID - $[…] /month per ID § Transaction Processing − Implementation - $[…] /management company − Transaction – purchase, redeem, exchange, literature order - $[…] /event − New Account Setup – $[…] /event − Monthly Minimum Charge - $[…] /month Amended Exhibit M (continued) to the Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES (continued) FEE SCHEDULE2017

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Common use of Distribution Fee Aging Clause in Contracts