Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family:
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] 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 Expedited CUSIP Setup - $[ ] /CUSIP (Less than [ ] days)
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup per fund group § $[ ] per certificate transaction § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training - WebEx - $[ ] per user - On Site at USBFS - $[ ] per day - At Client Location - $[ ] per day plus travel and miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] per hour ([ ] hour estimate) - Recurring (per feed) - $[ ] per month MARS Lite Setup and Implementation Fee Schedule § $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] - $[ ] – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Albridge Analytics Integration Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration...
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: · $[ ] setup/fund group · $[ ] /certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: · $[ ] setup/fund group · $[ ] /month administration · $[ ] /received e-mail 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. · $[ ] per fund group per month
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $___ setup /fund group § $___ /certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: § $___ setup /fund group § $___ /month administration § $___ /received e-mail 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 FAF Money Market Fund Service Organizations § $___ /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) 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 Jumbo Pricing (JUMBO) – allows grouping of accounts for the purpose of calculating the advanced commission paid to a dealer. § $___ /account group per 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 per certificate transaction
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $_____ setup /fund group § $_____ /certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: § $_____ setup /fund group § $_____ /month administration § $_____ /received e-mail 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 FAF Money Market Fund Service Organizations § $_____ /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) 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
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $__ setup/fund group § $__ /certificate transaction § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – $__
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: · $[___] setup/fund group · $[___] per certificate transaction 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. · $[___] per item, as needed; or · $[___] per fund group per month Exhibit D (continued) to the Transfer Agent Agreement - Supplemental Fees Supplemental Services are available upon written agreement of the parties at the fees set forth on this supplemental fee schedule Programming Charges – $[___] per hour Charges incurred for customized services based upon fund family requirements including but not limited to: · Select reports – shareholder system queries for customized reporting, mailings, etc. · File transmissions of client requested shareholder data file extracts · Customized service development · All other client specific customization and/or development services Literature Fulfillment Services · Account Management – $[___]/month (account management, lead reporting and database administration). · Order Processing - $[___]/per order (Assessed for each order shipped by US Bancorp Fund Services.) · Telephone Service Charge - $[___]/per call Inbound Teleservicing Only · Account Management - $[___]/month · Call Servicing - $[___]/per minute Lead Conversion Reporting · Account Management - $[___]/month · Database Installation, Setup - $[___] /fund group · Specialized Programming - (Separate Quote)* Web On-line Fund Fulfillment · Account Management - $[___] /month · Installation, Setup - $[___]/fund group · Per Literature Order - $[___] /request Follow-up Services · Correspondence - $[___] /item § Fees exclude postage and printing charges.
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup per fund group § $[ ] per certificate transaction § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – $[ ] - 10 Users – $[ ] - 20 Users – $[ ] - 30 Users – $[ ] - 40 Users – $[ ] - 50 Users – $[ ] § Training - WebEx - $[ ] per user - On Site at USBFS - $[ ] per day - At Client Location - $[ ] per day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] per hour (8 hour estimate) - Recurring (per feed) - $[ ] per month MARS Sales Reporting Module1 $ [ ] MARS Compliance Module2 $ [ ] MARS Sales & Compliance Modules3 $ [ ] $[ ] Notes:
