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 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 • $_____ per fund group Database Installation, Setup ▪ Miscellaneous Expenses • Included but not limited to specialized programming, kit and order processing expenses, postage, and printing.

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 • $_____ per fund group Database Installation, Setup ▪ Miscellaneous Expenses • Included but not limited to specialized programming, kit and order processing expenses, postage, and printing.

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 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 • $_____ per fund group Database Installation, Setup ▪ Miscellaneous Expenses • Included but not limited to specialized programming, kit and order processing expenses, postage, and printing.[...]