Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews.
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. - $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § $[ ] per monthly report Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at May, 2016 Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § $[ ] per qualified plan account or Xxxxxxxxx ESA account (Cap at $[ ] per SSN) § $[ ] per transfer to successor trustee § $[ ] per participant distribution (Excluding SWPs) § $[ ] per refund of excess contribution § $[ ] per reconversion/re-characterization § $[ ] per outgoing wire transfer or overnight delivery § $[ ] per telephone exchange § $[ ] per return check or ACH or stop payment § $[ ] per research request per account (This fee applies to requests for statements older than the prior year)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. - $__per Month CTI Reporting – Integrated custom detailed call reporting § $__ per monthly report Transfer Agent & Shareholder Services Supplemental Services Fee Schedule (Continued) at May, 2016 Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § $__per qualified plan account or Xxxxxxxxx ESA account (Cap at $__per SSN) § $__per transfer to successor trustee § $__per participant distribution (Excluding SWPs) § $__per refund of excess contribution § $__per reconversion/re-characterization § $__per outgoing wire transfer or overnight delivery § $__per telephone exchange § $__per return check or ACH or stop payment § $__per research request per account (This fee applies to requests for statements older than the prior year)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. § $[ ] per Month CTI Reporting – Integrated custom detailed call reporting § $[ ] per monthly report Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § $[ ] per qualified plan account or Cxxxxxxxx ESA account (Cap at $[ ] per SSN) § $[ ] per transfer to successor trustee § $[ ] per participant distribution (Excluding SWPs) § $[ ] per refund of excess contribution § $[ ] per reconversion/recharacterization
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. - $____per Month CTI Reporting – Integrated custom detailed call reporting § $____ per monthly report Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § $____ per qualified plan account or Xxxxxxxxx ESA account (Cap at $____ per SSN) § $____ per transfer to successor trustee § $____ per participant distribution (Excluding SWPs) § $____ per refund of excess contribution § $____ per reconversion/re-characterization § $____ per outgoing wire transfer or overnight delivery § $____ per telephone exchange § $____ per return check or ACH or stop payment § $____ per research request per account (This fee applies to requests for statements older than the prior year)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. • $[ ] per Month Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site • Initial data population: $[ ] for less than [ ] CUSIPS / $[ ] for [ ] CUSIPS or more • Monthly maintenance: $[ ] per management company • Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $[ ]/hour
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. • $350per Month CTI Reporting – Integrated custom detailed call reporting • $250 per monthly report Exhibit C (continued) to the Transfer Agent Services Agreement - Transfer Agent & Shareholder Services Supplemental Services – E-Commerce Services Fee Schedule Shareholder accounts will be charged based upon the type of activity and type of account, including the following: • $15.00 per qualified plan account or Xxxxxxxxx ESA account (Cap at $30.00 per SSN) • $25.00 per transfer to successor trustee • $25.00 per participant distribution (Excluding SWPs) • $25.00 per refund of excess contribution • $25.00 per reconversion/re-characterization • $15.00 per outgoing wire transfer or overnight delivery • $5.00 per telephone exchange • $25.00 per return check or ACH or stop payment • $10.00 per research request per account (This fee applies to requests for statements older than the prior year)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews • $[ ] per month • Project Management/Analysis – $[ ]/hour • Account Data Retention – $[ ]/account/month until purged* • CUSIP Data Retention – $[ ]/CUSIP/month until purged* *Fund Event are defined as Fund Liquidations, De-conversions, Mergers, Fully History Conversions (Manual and Systematic) and Non-Taxable Reorganizations (into U.S. Bank or out to another Transfer Agent) *FINCEN regulations require account retention for 12 months following closing. Data is purged the first July after retention requirements have been fulfilled. Xxxxxx • $[ ]/money market share class per year • Out-of-pocket expenses (see Transfer Agent Fee Schedule) • $[ ] – $[ ] MARS Sales Reporting Module, CRM Module or 22c-2 Compliance Module (Includes up to one year of DST/TA2000 data) • $[ ] – $[ ] MARS Sales & Compliance Reporting (Includes [ ] Sales & [ ] Compliance Users) • $[ ] – $[ ]MARS Sales Reporting (Includes [ ] Sales Users) • $[ ] – $[ ]MARS 22c-2 Compliance (Includes [ ] Compliance Users) • $[ ] – $[ ] – Enhanced Services* Includes up to [ ] hours per month of support services. Basic support includes file import assistance, data scrubbing (cleaning of firm, office and rep information), database query requests, compliance report monitoring/review/analysis, and business requirement analysis. Additional Enhanced Services support can be negotiated. • $[ ] – XxxxxXxxxx.xxx Integration • $[ ] – Custom Data Interface • $[ ] – OmniSERV Setup • $[ ] – Standard Interface • $[ ] – Additional OmniSERV Interface • $[ ] – Sales Reporting • $[ ] – 22c-2 Compliance • $[ ] – CRM • $[ ] – SFDC • $[ ] – OmniSERV • $[ ] – Daily Transaction Load from Sales Portal • $[ ] – Monthly Asset Load from Sales Portal • $[ ] – XxxxxXxxxx.xxx Albridge Analytics, CFG Fulfillment, Customer/Account Module, Document Management, Exact Target, iPad/iPhone, Mapping Integration, Xxxxxxx Xxxxx (Compliance Only), NSCC DTT Data Line, Profiling, and RIA Monthly Load. • $[ ] – MARS Lite Base Sales Reporting Only (Includes up to one year of DST/TA2000 data) • $[ ]/month (AUM $[ ] – $[ ]) • $[ ]/month (AUM $[ ] – $[ ]) • $[ ]/month (AUM $[ ] – $[ ]) • $[ ]/month (AUM $[ ] – $[ ]) Once an AUM of $[ ] has been reached, additional fees will be negotiated. After an AUM range is surpassed, the monthly services fee would not decrease regardless of negative fluctuations. Includes Enhanced Services up to [ ] hours per month of su...
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. ▪ $_ per Month Integrated custom detailed call reporting ▪ $_ per monthly report ▪ Fund Name Change - $_ per fund/ per change ▪ Fund CUSIP Change - $_ per fund/ per change Initial data review and population as well as ongoing support of information on DTCC’s Mutual Fund Profile II site ▪ Initial data population: $_ for less than 25 CUSIPS / $_ for 25 CUSIPS or more ▪ Monthly maintenance: $_ per management company ▪ Additional project fees may apply for events such as fund acquisitions, multiple fund/share class launches, share class charges and other large processing events outside of normal fund activity to be billed at rate of $250/hour Dealer fund survey requests - $_per hour for completion and quality validation Shareholder accounts will be charged based upon the type of activity and type of account, including the following: ▪ $_ per qualified plan account or Xxxxxxxxx ESA account (Cap at $30.00 per SSN) ▪ $_ per transfer to successor trustee ▪ $_ per participant distribution (Excluding SWPs) ▪ $_ per refund of excess contribution ▪ $_ per reconversion/re-characterization ▪ $_ per outgoing wire transfer or overnight delivery ▪ $_ per telephone exchange ▪ $_ per return check or ACH or stop payment ▪ $_per research request per account (This fee applies to requests for statements older than the prior year)
Shareholder Call Review Analysis. Includes Call Sampling sent securely to client and Reporting of internal representative reviews. - $__per Month CTI Reporting – Integrated custom detailed call reporting § $__per monthly report * Subject to annual CPI increase - All Urban Consumers - U.S. City Average. Shareholder accounts will be charged based upon the type of activity and type of account, including the following: § $__per qualified plan account or Cxxxxxxxx ESA account (Cap at $30.00 per SSN) § $__per transfer to successor trustee § $__per participant distribution (Excluding SWPs) § $__per refund of excess contribution § $__per reconversion/re-characterization
