Common use of Electronic Compliance Presentation Clause in Contracts

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 - $[ ] 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 Provides the capability for financial intermediaries to access electronic statements via the Vision application.* • Implementation Fees - $[ ] per fund group • Load charges - $[ ] per image • Archive charge (for any image stored beyond [ ] years) - $[ ] per document *Normal Vision ID and activity charges also apply. *Digital Investor customization charges also apply All pricing based upon contractual [ ]-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 [ ] 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 [ ] years ([ ]) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. • Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. • Document Setup & Development Fees-- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT XXXX data feed. Applies to major classes of documents (x.x. xxxxx confirm, investor, and tax documents) and significantly different documents within a class (e.g. a high net worth statement). Document set up fees will be determined upon requirements gathering and defining project scope. • Consent options will be reflected on TA2000; Email tracking and reporting on TA2000 Electronic Media reports Standard Development Fee- Fee assessed for any additional programming outside of the initial implementation scope or any additional post-production enhancements. • On-site at USBFS - $[ ] /day • At client location - $[ ] /day plus travel and miscellaneous expenses if required Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. Fees will be applied if the fund(s) have a redemption fee. • [ ] days or less: $[ ] /open account • [ ] -[ ] days: $[ ] /open account • [ ] -[ ] days: $[ ] /open account • [ ] days – [ ] year: $[ ] /open account • [ ] year – [ ] years: $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. ◦ $[ ] /direct open account per year Excessive Trader – Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. ◦ $[ ] setup /fund group of [ ] -[ ] funds, $[ ] setup /fund group of over [ ] funds ◦ $[ ] /account per year

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 - $[ ] 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 Provides the capability for financial intermediaries to access electronic statements via the Vision application.* • § Implementation Fees - $[ ] per fund group • § Load charges - $[ ] per image • § Archive charge (for any image stored beyond [ ] years) - $[ ] per document *Normal Vision ID and activity charges also apply. *Digital Investor FAN Web customization charges also apply All pricing based upon contractual [ ]-year 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 [ ] 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 [ ] years ([ ]) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. • § Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. • § Document Setup & Development Fees-- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT XXXX MXXX data feed. Applies to major classes of documents (x.xe.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. • § On-site at USBFS - $[ ] /day • § At client location - $[ ] /day plus travel and miscellaneous out-of-pocket expenses if required Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. Fees will be applied if the fund(s) have a redemption fee. • [ ] days or less: $[ ] /open account • [ ] -[ ] days: $[ ] /open account • [ ] -[ ] days: $[ ] /open account • [ ] days – [ ] year: $[ ] /open account • [ ] year – [ ] years: $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. ◦ $[ ] /direct open account per year Excessive Trader – Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. ◦ $[ ] setup /fund group of [ ] -[ ] funds, $[ ] setup /fund group of over [ ] funds ◦ $[ ] /account per yearrequired

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 - $[ ] 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 Provides the capability for financial intermediaries to access electronic statements via the Vision application.* • ◾ Implementation Fees - $[ ] per fund group • ◾ Load charges - $[ ] per image • ◾ Archive charge (for any image stored beyond [ ] years) - $[ ] per document *Normal Vision ID and activity charges also apply. *Digital Investor or FAN Web customization charges also apply All pricing based upon contractual [ ]] -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 [ ] 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 [ ] years ([ ]) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. • ◾ Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. • ◾ Document Setup & Development Fees-- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT XXXX data feed. Applies to major classes of documents (x.x. xxxxx confirm, investor, and tax documents) and significantly different documents within a class (e.g. a high net worth statement). Document set up fees will be determined upon requirements gathering and defining project scope. • ◾ Consent options will be reflected on TA2000; Email tracking and reporting on TA2000 Electronic Media reports Standard Development Fee- Fee assessed for any additional programming outside of the initial implementation scope or any additional post-production enhancements. • ◾ On-site at USBFS - $[ ] /day • ◾ At client location - $[ ] /day plus travel and miscellaneous expenses if required Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. Fees will be applied if the fund(s) have a redemption fee. • ◾ [ ] days or less: $[ ] /open account • ◾ [ ] -[ ] days: $0[ ] /open account ◾ [ ] -[ ] days: $[ ] /open account • [ ] -[ ] days: $[ ] /open account • ◾ [ ] days – [ ] year: $[ ] /open account • ◾ [ ] year – [ ] years: $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. ◦ $[ ] /direct open account per year Excessive Trader – Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. ◦ $[ ] setup /fund group of [ ] -[ ] funds, $[ ] setup /fund group of over [ ] funds ◦ $[ ] /account per yearaccount

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 - $[ ] 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 Provides the capability for financial intermediaries to access electronic statements via the Vision application.* • ◾ Implementation Fees - $[ ] per fund group • ◾ Load charges - $[ ] per image • ◾ Archive charge (for any image stored beyond [ ] years) - $[ ] per document *Normal Vision ID and activity charges also apply. *Digital Investor FAN Web customization charges also apply All pricing based upon contractual [ ]-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 [ ] days based on the following conditions: • ◾ Document Loading, Storage and Access - Statements presented as PDF documents. Includes data preparation for web-based presentment, document loading, hot storage for [ ] two years ([ ]2) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. • ◾ Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. • ◾ Document Setup & Development Fees-- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT XXXX data feed. Applies to major classes of documents (x.x. xxxxx confirm, investor, and tax documents) and significantly different documents within a class (e.g. a high net worth statement). Document set up fees will be determined upon requirements gathering and defining project scope. • ◾ Consent options will be reflected on TA2000; Email tracking and reporting on TA2000 Electronic Media reports Standard Development Fee- Fee assessed for any additional programming outside of the initial implementation scope or any additional post-production enhancements. • ◾ On-site at USBFS - $[ ] /day • ◾ At client location - $[ ] /day plus travel and miscellaneous expenses if required Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. Fees will be applied if the fund(s) have a redemption fee. • ◾ [ ] days or less: $[ ] /open account • ◾ [ ] ]-[ ] days: $[ ] /open account • ◾ [ ] ]-[ ] days: $[ ] /open account • ◾ [ ]-[ ] days – [ ] yeardays: $[ ] /open account • ◾ [ ] year – [ ] years: $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. ◦ ◾ $[ ] /direct open account per year Excessive Trader – Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. ◦ $[ ] setup /fund group of [ ] -[ ] funds, $[ ] setup /fund group of over [ ] funds ◦ $[ ] /account per year

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 - $[ ] per suppressed /suppressed statement ◦ § Development & Implementation of Electronic Compliance Documents - $[ ] initial setup fee ◦ Note: Annual compliance minimum fee of $[ ]. § View Consent Enrollment - $[ ] per transaction ◦ /transaction § Consent Enrollment - $[ ] per transaction ◦ /transaction § View Statements - $[ ] per view Provides the capability for financial intermediaries to access electronic statements via the Vision application.* • Implementation Fees - $[ ] per fund group • Load charges - $[ ] per image • Archive charge (for any image stored beyond [ ] years) - $[ ] per document *Normal Vision ID and activity charges also apply. *Digital Investor customization charges also apply /view All pricing based upon contractual [ ]-year three-year term. Proposal is rough estimate based upon client request. Rates subject to change once formal business requirements are received and reviewed. Estimate is valid for [ ] 90 days based on the following conditions: • § Document Loading, Storage and Access - Statements presented as PDF documents. Includes data preparation for web-based presentment, document loading, hot storage for [ ] two years ([ ]2) on primary DASD and WORM-media and unlimited access. Statements will be loaded for all accounts, regardless of consent. • § Document Consent Processing, Suppression & Notification – On-line consent registration, paper suppression, processing, quality control and email notification of document availability to an ISP address. Suppression and Notification volume will be determined by customer consent. Email notification of document availability to an ISP address. Notification volume will be determined by customer consent. • § Document Setup & Development Fees-- Includes gathering business requirements and creation of functional specification document with record types II, AS, and AT, utilizing a DST OUTPUT XXXX MXXX data feed. Applies to major classes of documents (x.xe.x. xxxxx confirm, investor, and tax documents) and significantly different documents within a class (e.g. a high net worth statement). Document set up setup 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. § On-site at USBFS - $[ ] /day • § At client location - $[ ] /day plus travel and miscellaneous out-of-pocket expenses if required Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. Fees will be applied if the fund(s) have a redemption fee. • [ ] days or less: $[ ] /open account • [ ] -[ ] days: $[ ] /open account • [ ] -[ ] days: $[ ] /open account • [ ] days – [ ] year: $[ ] /open account • [ ] year – [ ] years: $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for non-fiduciary direct accounts. ◦ $[ ] /direct open account per year Excessive Trader – Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. ◦ $[ ] setup /fund group of [ ] -[ ] funds, $[ ] setup /fund group of over [ ] funds ◦ $[ ] /account per yearrequired