Common use of Services Included in Annual Basis Point Fee Clause in Contracts

Services Included in Annual Basis Point Fee. Telephone Calls § Voice Response Calls § Manual Shareholder Transaction & Correspondence § Omnibus Account Transaction § Daily Valuation/ Manual 401k Trade § Report Source - Client on-line access to fund and investor data. Includes set up and 2 user Ids. § NSCC System Interface § Short-Term Trader Reporting - Software application used to track and/or assess transaction fees that are determined to be short-term trades. § 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. § 12b-1 Aging - Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age. Including but not limited to telephone toll-free lines, mailing, sorting and postage, stationery, envelopes, service/data conversion, AML verification services, special reports, record retention, processing of literature fulfillment kits, lost shareholder search, disaster recovery charges, ACH fees, Fed wire charges, NSCC Profile, NSCC activity charges, DST charges, shareholder/dealer print out (daily confirms, investor confirms, tax, check printing and writing and commissions),voice response (VRU) maintenance and development, data communication and implementation charges, specialized programming, return mail processing, omnibus conversions, travel, excess history, FATCA and other compliance mailings.

Services Included in Annual Basis Point Fee. Telephone Calls § Voice Response Calls § Manual Shareholder Transaction & Correspondence § Omnibus Account Transaction § Daily Valuation/ Valuation/Manual 401k Trade § Report Source - Client on-line access to fund and investor data. Includes set up and 2 user Ids. § NSCC System Interface § Short-Term Trader Reporting - Software application used to track and/or assess transaction fees that are determined to be short-term trades. § 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. § 12b-1 Aging - Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age. § CUSIP Setup beyond the initial CUSIP - $1,500 per CUSIP § Expedited CUSIP Setup - $3,000 per CUSIP (Less than 35 days) Including but not limited to telephone toll-free lines, mailing, sorting and postage, stationery, envelopes, service/data conversion, AML verification services, special reports, record retention, processing of literature fulfillment kits, lost shareholder search, disaster recovery charges, ACH fees, Fed wire charges, NSCC Profile, NSCC activity charges, DST charges, shareholder/dealer print out (daily confirms, investor confirms, tax, check printing and writing and commissions),voice commissions), voice response (VRU) maintenance and development, data communication and implementation charges, specialized programming, return mail processing, omnibus conversions, travel, excess history, FATCA and other compliance mailings.

Services Included in Annual Basis Point Fee. Telephone Calls § Voice Response Calls § Manual Shareholder Transaction & Correspondence § Omnibus Account Transaction § Daily Valuation/ Valuation/Manual 401k Trade § Report Source - Client on-line access to fund and investor data. Includes set up and 2 user Ids. § NSCC System Interface § Short-Term Trader Reporting - Software application used to track and/or assess transaction fees that are determined to be short-term trades. § 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. § 12b-1 Aging - Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age. § CUSIP Setup beyond the initial CUSIP - $_ per CUSIP § Expedited CUSIP Setup - $_ per CUSIP (Less than 35 days) Including but not limited to telephone toll-free lines, mailing, sorting and postage, stationery, envelopes, service/data conversion, AML verification services, special reports, record retention, processing of literature fulfillment kits, lost shareholder search, disaster recovery charges, ACH fees, Fed wire charges, NSCC Profile, NSCC activity charges, DST charges, shareholder/dealer print out (daily confirms, investor confirms, tax, check printing and writing and commissions),voice commissions), voice response (VRU) maintenance and development, data communication and implementation charges, specialized programming, return mail processing, omnibus conversions, travel, excess history, FATCA and other compliance mailings.

Services Included in Annual Basis Point Fee. Telephone Calls § Voice Response Calls § Manual Shareholder Transaction & Correspondence § Omnibus Account Transaction § Daily Valuation/ Valuation/Manual 401k Trade § Report Source - Client on-line access to fund and investor data. Includes set up and 2 user Ids. § NSCC System Interface § Short-Term Trader Reporting - Software application used to track and/or assess transaction fees that are determined to be short-term trades. § 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. § 12b-1 Aging - Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age. § CUSIP Setup beyond the initial CUSIP - $__per CUSIP § Expedited CUSIP Setup - $__per CUSIP (Less than 35 days) Including but not limited to telephone toll-free lines, mailing, sorting and postage, stationery, envelopes, service/data conversion, AML verification services, special reports, record retention, processing of literature fulfillment kits, lost shareholder search, disaster recovery charges, ACH fees, Fed wire charges, NSCC Profile, NSCC activity charges, DST charges, shareholder/dealer print out (daily confirms, investor confirms, tax, check printing and writing and commissions),voice commissions), voice response (VRU) maintenance and development, data communication and implementation charges, specialized programming, return mail processing, omnibus conversions, travel, excess history, FATCA and other compliance mailings.