Electronic Compliance Presentation Clause Samples

Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run.

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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 $[ ]. View Consent Enrollment - $[ ] /transaction Consent Enrollment - $[ ] /transaction View Statements - $[ ] /view All pricing based upon contractual three-year term. Proposal is rough estimate based upon client request. Rates subject to change once formal business requirements are received and reviewed. Estimate is valid for 90 days based on the following conditions: § Document Loading, Storage and Access - Statements presented as PDF documents. Includes data preparation for web-based presentment, document loading, hot storage for two years (2) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. § Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. § Document Setup & Development Fees-- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT M▇▇▇ data feed. Applies to major classes of documents (e.▇. ▇▇▇▇▇ 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.

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Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. • Document Consent Processing, Suppression, and Notification – $_____ per suppressed statement • Development & Implementation of Electronic Compliance Documents – $_____ initial setup fee • View Consent Enrollment – $_____ per transaction • Consent Enrollment – $_____ per transaction • View Statements – $_____ per view • Statements presented as PDF documents • Statements will be loaded for all accounts, regardless of consent • Three year minimum term • Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $_____ per document per year for three years and greater, if desired Digital Investor customization charges apply 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 – $_____ per year • Per Record Charge • Rep/Branch/ID – $._____ • Dealer – $_____ • Price Files – $_____ per record or $_____ per user per month, whichever is less Online account access for broker/dealers, financial planners, and RIAs. • Account inquiry • Inquiry - $_____ per event • Vision ID - $_____ per month per ID • Transaction Processing* • Implementation Fee - $_____ per Management Company • Transaction – purchase, redeem, and exchange - $_____ per event • Monthly Minimum Charge - $_____ per month • Electronic Statements* • Implementation- $_____ per fund group • Load charges-$_____ per image • Archive charge (for any image stored beyond 2 years)-$_____ per document *Vision ID and event charges also apply. • Threatmetrix Services: MFA Annual Product Fee Below 1000 IDs $_____ $_____ 1000-3450 IDs $_____ $_____ 3451 IDs and above $_____ $_____ Upon consent from shareholder caller, forms and fulfillment pieces can be sent via email through a secured service rather than mailed. • $_____ per Email • Account Management/Database Administration • $_____ per month • $_____ per SKU -Receiving • $_____ per order - Order Processing • $_____ per month per location - Skid Storage • $_____ per SKU - Disposal • Inbound Teleservicing Only • $_____ per month (OR) - Account Management • $_____ per call - Call Servicing • Lead Source Reporting • $_____ per month • Closed Loop Reporting • $_____ per month - Account Management • $_____ ...

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Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. Document Consent Processing, Suppression, and Notification – $[...] per suppressed statement Development & Implementation of Electronic Compliance Documents – $[...] initial setup fee View Consent Enrollment – $[...] per transaction Consent Enrollment – $[...] per transaction View Statements – $[...] per view Statements presented as PDF documents Statements will be loaded for all accounts, regardless of consent Three-year minimum term Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[...] per document per year for three years and greater, if desired Digital Investor customization charges apply. 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 – $[...] per year Per Record Charge • Rep/Branch/ID – $[...] • Dealer – $[...] Price Files – $[...] per record or $[...] per user per month, whichever is less Online account access for broker/dealers, financial planners, and RIAs. Account inquiry • Inquiry - $[...] per event • Vision ID - $[...] per month per ID Transaction Processing* • Implementation Fee - $[...] per Management Company • Transaction – purchase, redeem, and exchange - $[...] per event • Monthly Minimum Charge - $[...] per month Electronic Statements* • Implementation- $[...] per fund group • Load charges-$[...] per image • Archive charge (for any image stored beyond 2 years)-$[...] per document *Vision ID and event charges also apply. • Threatmetrix Services: • MFA Annual Product Fee Below 1000 IDs [...] [...] 1000-3450 IDs [...] [...] 3451 IDs and above [...] [...]

Electronic Compliance Presentation eCompliance allows consented users to receive an email containing a link to the respective compliance material for each compliance run. ■ $ [...] per suppressed statement, Document Consent Processing, Suppression, and Notification ■ $ [...] initial setup fee, Development & Implementation of Electronic Compliance Documents - ■ $ [...] per transaction, View Consent Enrollment ■ $ [...] per transaction, Consent Enrollment ■ $ [...] per view, View Statements ■ Statements presented as PDF documents ■ Statements will be loaded for all accounts, regardless of consent ■ Five-year minimum term ■ Storage for two years included in Document Loading, Storage and Access fee. Archive fee of $[...] per document per year for three years and greater, if desired Digital Investor customization charges apply New fund launch – $[...] per fund or as negotiated Ongoing Annual Regulatory Administration Services, including supplements – o $[...] for first three active or inactive funds in same statutory prospectus o $[...] for each additional active or inactive fund in the same statutory prospectus Additional projects such as new share class launch, multi-managed funds, SEC exemptive order applications, expedited filings, asset conversion, and proxies – as negotiated based upon specific requirements Above fees are applicable when all new funds are registered in same statutory prospectus. All other miscellaneous fees and expenses, including but not limited to the following, will be separately billed as incurred: Postage, if necessary Federal and state regulatory filing fees Expenses from Board of Trustee meetings Third party auditing and legal expenses ▇▇▇▇▇/iXBRL filing (may be charged by third-party or U.S. Bank) All other Miscellaneous expenses Fund startup and registration fees are billed 50% following the selection of U.S. Bank and 50% 75 days after the preliminary registration statement is filed with the SEC. The following reflects the greater of the basis point fee or annual minimum1 where (the “Adviser”) acts as investment adviser to the fund(s) in the same registered investment company. Basis Points2 [...] on the first $[...] million [...] on the next $[...] million [...] on the balance $[...] – per fund, Minimum Annual Fee2