Duties and Responsibilities of USBFS. USBFS shall:
A. Make Electronic Services available 24 hours a day, 7 days a week, subject to scheduled maintenance and events outside of USBFS’s reasonable control. Unless an emergency is encountered, no routine maintenance will occur during the hours of 8:00 a.m. to 3:00 p.m. Central Time.
B. Provide installation services, which shall include review and approval of the Trusts’ network requirements, recommending method of establishing (and, as applicable, cooperate with the Trusts to implement and maintain) a hypertext link between the Electronic Services site and the Trusts’ web site(s) and testing the network connectivity and performance.
C. Maintain and support the Electronic Services, which shall include providing error corrections, minor enhancements and interim upgrades to the Electronic Services that are made generally available to the Electronic Services customers and providing help desk support to provide assistance to the Trusts’ employees and agents with their use of the Electronic Services. Maintenance and support, as used herein, shall not include (i) access to or use of any substantial added functionality, new interfaces, new architecture, new platforms, new versions or major development efforts, unless made generally available by USBFS to the Electronic Services customers, as determined solely by USBFS or (ii) maintenance of customized features.
D. Establish systems to guide, assist and permit End Users (as defined below) who access the Electronic Services site from the Trusts’ web site(s) to electronically perform inquiries and create and transmit transaction requests to USBFS.
E. Address and mail, at the Trusts’ expense, notification and promotional mailings and other communications provided by the Trust to shareholders regarding the availability of the Electronic Services.
F. Issue to each shareholder, financial adviser or other person or entity who desires to make inquiries concerning the Trusts or perform transactions in accounts with the Trusts using any of the Electronic Services (the “End User”) a unique personal identification number (“PIN”) for authentication purposes, which may be changed upon an End User’s reasonable request in accordance with policies to be determined by USBFS and the Trusts. USBFS will require the End User to provide his/her PIN in order to access the Electronic Services.
G. Prepare and process new account applications received through the Electronic Services from shareholders determined by the Trusts to be eli...
Duties and Responsibilities of USBFS. USBFS will provide the following implementation support:
(1) Project Management Assistance
(2) Setup and Testing of System Interfaces
(3) Conversion of Historical Data from the Trust
(4) Assist with Sales Channel and Sales Territory Setup
(5) Assist with Clearing/Executing Firm Relationships
(6) Assist with Compliance Rule Setup
(7) Database Setup (User Defined Fields) (8) Training (additional fee) USBFS will provide the following support services after implementation:
(1) Assist with Project Management
(2) Dedicated Client Service team
(3) Weekly status calls (if needed)
(4) Setup and testing of requests from the Trust
(5) Duplicate Data Identification
(6) Assistance with System File Imports
(7) Custom Report Programming (at Programming rates)
(8) Enhanced support available at a designated fee (such as database query reports, compliance report review and analysis, compliance workflow assistance)
Duties and Responsibilities of USBFS. A. USBFS shall make certain electronic, interactive and processing services as defined below (“Services”) available 24 hours a day, 7 days a week, subject to scheduled maintenance and events outside of USBFS’s reasonable control. Unless an emergency is encountered, no routine maintenance will occur during the hours of 8:00 a.m. to 3:00 p.m., Central Time.
Duties and Responsibilities of USBFS. USBFS shall:
A. Be responsible for designing, developing and maintaining a link on Trust’s website that allows Users to consent to E-Statement delivery. This consent will include: (1) a description of the electronic delivery medium (i.e., e-mail); (2) a description of the E-Statements that will be available electronically; (3) the duration of the consent’s effectiveness; (4) any costs associated with on-line document access; and (5) directions regarding how the User can revoke consent. Upon receipt of a User’s consent to receive E-Statements, USBFS shall stop sending paper statements to User. Upon receipt of a User’s revocation of consent, the User will thereafter receive paper statements.
B. Be responsible for timely and adequately notifying User via e-mail that the User’s E-Statement is available at the appropriate Internet site. The e-mail will contain a hyperlink that will take the User to the appropriate log-in page of the Trust’s Internet Site.
C. Through the consent process, ensure the User has the ability to print or retain the E-Statement.
D. Ensure the E-Statement is available for the User on the Trust’s Internet site for a minimum period of 24 months after delivery.
E. Ensure that Users are informed of the requirements to download PDF formatted E-Statements and are provided with any necessary software or technical assistance at no cost to facilitate viewing of PDF E-Statements.
F. Ensure that paper versions of E-Statements are available if any consent to receive documents were revoked or if the User specifically requests a paper copy (regardless of whether consent to receive E-Statements was revoked).
G. Monitor any rejection (or “bounce”) of an E-Statement notification e-mail sent to a User. In the event an E-Statement notification e-mail is rejected and/or returned by a User’s e-mail system, USBFS shall mail a paper copy of the confirm or statement to the User. In the event that the paper copy of the confirm or statement is returned by the U.S. Postal Service as undeliverable, USBFS shall then utilize the lost shareholder due diligence searches and servicing procedures outlined in Section four (4) of this Transfer Agency Agreement.
H. If additional Internet Access Services become available during the term of this Agreement, USBFS shall offer the additional services to the Trust. To the extent the Trust elects to receive any or all of such additional services, this Exhibit D shall be amended.
Duties and Responsibilities of USBFS. USBFS shall:
Duties and Responsibilities of USBFS. USBFS shall:
A. Be responsible for timely and adequately notifying User via e-mail that the User’s E-Statement is available at the appropriate Internet site.
B. Through the consent process, ensure the User has the ability to print or retain the E-Statement.
C. Ensure the E-Statement is available for the User on the Trust’s Internet site for a minimum period of 24 months after delivery.
D. Ensure that Users are informed of the requirements to download PDF formatted E-Statements.
E. Ensure that paper versions of E-Statements are available if any consent to receive documents were revoked or if the User specifically requests a paper copy (regardless of whether consent to receive E-Statements was revoked).
F. If additional Internet access services become available during the term of this Agreement, USBFS shall offer the additional services to the Trust. To the extent the Trust elects to receive any or all of such additional services, this Exhibit C shall be amended.
Duties and Responsibilities of USBFS. USBFS shall provide the following fulfillment services for the Funds, including but not limited to:
A. Answer all prospective shareholder calls concerning the Fund.
B. Send all available Fund material requested by a prospect within 24 hours fromtime of call.
C. Receive and update all Fund fulfillment literature so that the most current information is sent and quoted.
D. Provide 24 hour answering service to record prospect calls made after hours(7 p.m. to 8 a.m. Central Time).
E. Maintain and store Fund fulfillment inventory.
F. Send periodic fulfillment reports to the Trust as agreed upon between theparties.
Duties and Responsibilities of USBFS. From the compensation USBFS receives pursuant to this Agreement, USBFS shall provide certain services directly as described in the Agreement, and shall also administer payment of the following fees to third parties:
A. Trustees’ fees;
B. Trustee’s fees for Individual Retirement Accounts, and all similar accounts, (“IRA’s”); USBFS and the Adviser have agreed that Great Plains Trust Company of South Dakota will serves as the Trustee for the IRAs that invest in the Funds; the fee schedule for Great Plains Trust Company of South Dakota is attached to this Agreement as Exhibit H.
C. Custodian fees (except foreign custody fees)
D. Independent public accountant fees, Fund counsel and independent legal counsel fees (but not legal and audit fees and other costs in contemplation of or arising out of litigation or administrative actions to which any Fund, its officers or Trustees are a party or incurred in anticipation of becoming a party);
E. Third-party pricing vendor fees;
F. NSCC charges;
G. Printing and mailing costs of prospectuses and shareholder reports;
H. Distribution-related services under selling agreements with qualified broker-dealers for purposes of selling shares of the Funds; and
I. Non-distribution payments to third party intermediaries (e.g., shareholder servicing and/or avoided transfer agency fees) in excess of amounts available under the Shareholder Servicing Plan adopted by the Trust on behalf of the Investor Class shares of the Funds; and
J. Any other common industry-related expenses of third-party vendors engaged by the Funds to which the parties agree.
Duties and Responsibilities of USBFS. USBFS shall provide the following fulfillment services for the Funds, including but not limited to:
A. Answer all prospective shareholder calls concerning each Fund.
B. Send all available Fund fulfillment literature requested by a prospect within 24 hours from time of call.
C. Ensure that all Fund fulfillment literature sent contains the most current information.
D. Provide 24 hour answering service to record prospect calls made after hours (7 p.m. to 8 a.m. Central Time). E. Maintain and store Fund fulfillment inventory. F. Send periodic fulfillment reports to the Trust as agreed upon between the parties. G. Maintain and preserve required books and records related to fulfillment services for the Trust under applicable federal and state securities laws and regulations of regulatory agencies. For purposes of this Agreement, "fulfillment literature" includes the prospectus and statement of additional information of a Fund (and any supplements), any annual and semi-annual shareholder report of a Fund (and any supplements), privacy notices and any advertisement or sales literature of a Fund approved by the Trust or the Adviser. In providing these services, USBFS represents and warrants that it will comply with all applicable laws and regulations.
Duties and Responsibilities of USBFS. USBFS shall:
A. Receive data (“Files”) from DST’s TA2000 transfer agent record-keeping system and address the Files to Users who have completed the enrollment process for FAN Mail Services required by DST and make the Files available to such Users. All Files will be made available only through the Internet via a Hypertext Transfer Protocol Secure site (the “HTTPS Server”). USBFS will provide to each User a user identification (“User ID”) and a password (the “Password”) and shall permit access to the Files on the HTTPS Server associated with a given User ID and Password whenever the appropriate User ID and Password is received by the HTTPS Server. Each User is responsible for accessing the HTTPS Server and retrieving such User’s Files. USBFS hereby reserves the right to change the method of delivery for the FAN Mail Services or to develop an internal delivery system.
B. Make available to Users the Files included in Appendix 1 to this Exhibit D. USBFS may from time to time and upon notice to the Fund and the Portfolio add and/or delete Files from Appendix 1.
C. Perform the following administrative functions through DST necessary to establish the link between the Files and the User’s HTTPS directory: maintain a data base that contains the User’s name, address, electronic mailing address, 30 day history of Files made available (actual back-up of information is not maintained for the Fund and the Portfolio) and a list of Users by dealer/adviser number; provide billing to the Fund and the Portfolio; provide daily reports to the Fund and the Portfolio; reasonably assist the Fund and the Portfolio and Users in establishing FAN Mail links; monitor transmissions and provide ongoing technical support for FAN Mail; and maintain a web site facilitating enrollment of new Users.
D. Ensure that the HTTPS Server is accessible via the Internet. Through DST, provide telephone support to the Fund or the Portfolio and Users with respect to the use of FAN Mail, use reasonable efforts to resolve problems, and establish and maintain the HTTPS Server so it is available for contact by financial planning software vendors.
E. If additional FAN Mail Services become available during the term of this Agreement, USBFS shall offer the additional services to the Fund and the Portfolio. To the extent the Fund and the Portfolio elect to receive any or all of such additional services, this Exhibit D shall be amended.
F. Make available, either directly or indirectly, all computers, telecommuni...
