Standard and Extended Conversion Services. Termination Phase Standard Services. $5,000.00 Minimum Fee Per Termination Extended Services. $2,500.00 for each of the individual Services listed below. Test of Conversion Services · Not applicable · Test full audit extracts files (which are either transmitted to the agent or copied on to a protected CD); test Full Registered List, all classes Opened and/or Closed · Additional test audit extracts (includes all shareholder details. Control totals & codes sent w/extracts) · Test separate exchange lists for each class · Test certificate stop list · Test certificate legend list · Test RPO accounts · Test full transactions lists · Test ACH debit list including plan shares and reinvestment code · Test ACH credit list and secondary address list Final Conversion Services · Full audit extracts · Full registered list opened and closed · Certificate stop list · Certificate legend list · RPO accounts · End of year tax report* · Parallel processing for up to 4 days · Communications with new agent as applicable · Separate exchange lists for each class · Full transactions list · ACH Debit including plan shares and reinvestment code* · ACH Credit list and secondary address list* · 1099D detailed report* · 1042S detailed report* · Parallel processing for more than 4 days (each additional day is considered one extended service) Post Conversion Services · Certification letter · Due Diligence statement · 3 months post conversion · Check extract files · Check reports · Check reports and extracts to CDs · Communications with new agent as applicable · Not applicable * Not applicable to terminations for non-dividend payers.
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Samples: Agency and Service Agreement (First Trust Energy Income & Growth Fund), Transfer Agency and Service Agreement (Firsthand Technology Value Fund, Inc.)
Standard and Extended Conversion Services. Termination Phase Standard Services. $5,000.00 Minimum Fee Per Termination Extended Services. $2,500.00 for each of the individual Services listed below. Test of Conversion Services · ● Not applicable · ● Test full audit extracts files (which are either transmitted to the agent or copied on to a protected CD); test Full Registered List, all classes Opened and/or Closed · ● Additional test audit extracts (includes all shareholder details. Control totals & codes sent w/extracts) · ● Test separate exchange lists for each class · ● Test certificate stop list · ● Test certificate legend list · ● Test RPO accounts · ● Test full transactions lists · ● Test ACH debit list including plan shares and reinvestment code · ● Test ACH credit list and secondary address list Final Conversion Services · ● Full audit extracts · ● Full registered list opened and closed · ● Certificate stop list · ● Certificate legend list · ● RPO accounts · ● End of year tax report* · ● Parallel processing for up to 4 days · ● Communications with new agent as applicable · ● Separate exchange lists for each class · ● Full transactions list · ● ACH Debit including plan shares and reinvestment code* · ● ACH Credit list and secondary address list* · ● 1099D detailed report* · ● 1042S detailed report* · ● Parallel processing for more than 4 days (each additional day is considered one extended service) Post Conversion Services · ● Certification letter · ● Due Diligence statement · ● 3 months post conversion · ● Check extract files · ● Check reports · ● Check reports rports and extracts to CDs · ● Communications with new agent as applicable · ● Not applicable * Not applicable to terminations for non-dividend divide payers.
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Samples: Transfer Agency and Service Agreement (ETF Managers Trust)
Standard and Extended Conversion Services. Termination Phase Standard Services. $5,000.00 Minimum Fee Per Termination Extended Services. $2,500.00 for each of the individual Services listed below. Test of Conversion Services · ● Not applicable · ● Test full audit extracts files (which are either transmitted to the agent or copied on to a protected CD); test Full Registered List, all classes Opened and/or Closed · ● Additional test audit extracts (includes all shareholder details. Control totals & codes sent w/extracts) · ● Test separate exchange lists for each class · ● Test certificate stop list · ● Test certificate legend list · ● Test RPO accounts · ● Test full transactions lists · ● Test ACH debit list including plan shares and reinvestment code · ● Test ACH credit list and secondary address list Final Conversion Services · ● Full audit extracts · ● Full registered list opened and closed · ● Certificate stop list · ● Certificate legend list · ● RPO accounts · ● End of year tax report* · ● Parallel processing for up to 4 days · ● Communications with new agent as applicable · ● Separate exchange lists for each class · ● Full transactions list · ● ACH Debit including plan shares and reinvestment code* · ● ACH Credit list and secondary address list* · ● 1099D detailed report* · ● 1042S detailed report* · ● Parallel processing for more than 4 days (( each additional day is considered one extended service) Post Conversion Services · ● Certification letter · ● Due Diligence statement · ● 3 months post conversion · ● Check extract files · ● Check reports · ● Check reports and extracts to CDs · ● Communications with new agent as applicable · ● Not applicable * Not applicable to terminations for non-dividend payers.
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Samples: Agency and Service Agreement (Cbre Global Real Estate Income Fund)
Standard and Extended Conversion Services. Termination Phase Standard Services. $5,000.00 Minimum Fee Per Termination Extended Services. $2,500.00 for each of the individual Services listed below. Test of Conversion Services · Not applicable · Test full audit extracts files (which are either transmitted to the agent or copied on to a protected CD); test Full Registered List, all classes Opened and/or Closed · Additional test audit extracts (includes all shareholder details. Control totals & codes sent w/extracts) · Test separate exchange lists for each class · Test certificate stop list · Test certificate legend list · Test RPO accounts · Test full transactions lists · Test ACH debit list including plan shares and reinvestment code · Test ACH credit list and secondary address list Final Conversion Services · Full audit extracts · Full registered list opened and closed · Certificate stop list · Certificate legend list · RPO accounts · End of year tax report* · Parallel processing for up to 4 days · Communications with new agent as applicable · Separate exchange lists for each class · Full transactions list · ACH Debit including plan shares and reinvestment code* · ACH Credit list and secondary address list* · 1099D detailed report* · 1042S detailed report* · Parallel processing for more than 4 days (each additional day is considered one extended service) Post Conversion Services · Certification letter · Due Diligence statement state · 3 months post conversion · Check extract files · Check reports · Check reports and extracts to CDs · Communications with new agent as applicable · Not applicable * Not applicable to terminations for non-dividend payers.
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Samples: Transfer Agency and Service Agreement (Japan Smaller Capitalization Fund Inc)
Standard and Extended Conversion Services. Termination Phase Standard Services. $5,000.00 Minimum Fee Per Termination Extended Services. $2,500.00 for each of the individual Services listed below. Test of Conversion Services · ● Not applicable · ● Test full audit extracts files (which are either transmitted to the agent or copied on to a protected CD); test Full Registered List, all classes Opened and/or Closed · ● Additional test audit extracts (includes all shareholder details. Control totals & codes sent w/extracts) · ● Test separate exchange lists for each class · ● Test certificate stop list · ● Test certificate legend list · ● Test RPO accounts · ● Test full transactions lists · ● Test ACH debit list including plan shares and reinvestment code · ● Test ACH credit list and secondary address list Final Conversion Services · ● Full audit extracts · ● Full registered list opened and closed · ● Certificate stop list · ● Certificate legend list · ● RPO accounts · ● End of year tax report* · ● Parallel processing for up to 4 days · ● Communications with new agent as applicable · ● Separate exchange lists for each class · ● Full transactions list · ● ACH Debit including plan shares and reinvestment code* · ● ACH Credit list and secondary address list* · ● 1099D detailed report* · ● 1042S detailed report* · ● Parallel processing for more than 4 days (each additional day is considered one extended service) Post Conversion Services · ● Certification letter · ● Due Diligence statement · ● 3 months post conversion · ● Check extract files · ● Check reports · ● Check reports and extracts to CDs · ● Communications with new agent as applicable · ● Not applicable * Not applicable to terminations for non-dividend payers.
Appears in 1 contract
Samples: Agency and Service Agreement (Thornburg Income Builder Opportunities Trust)
Standard and Extended Conversion Services. Termination Phase Standard Services. $5,000.00 Minimum 2,500.00 Fee Per Termination Extended Services. $2,500.00 for each of the individual Services listed below. Test of Conversion Services · • Not applicable · • Test full audit extracts files (which are either transmitted to the agent or copied on to a protected CD); test Full Registered List, all classes Opened and/or Closed · • Additional test audit extracts (includes all shareholder details. Control totals & codes sent w/extracts) · • Test separate exchange lists for each class · • Test certificate stop list · • Test certificate legend list · • Test RPO accounts · • Test full transactions lists · • Test ACH debit list including plan shares and reinvestment code · • Test ACH credit list and secondary address list Final Conversion Services · • Full audit extracts · • Full registered list opened and closed · • Certificate stop list · • Certificate legend list · • RPO accounts · • End of year tax report* · • Parallel processing for up to 4 days · • Communications with new agent as applicable · • Separate exchange lists for each class · • Full transactions list · • ACH Debit including plan shares and reinvestment code* · • ACH Credit list and secondary address list* · • 1099D detailed report* · • 1042S detailed report* · • Parallel processing for more than 4 days (each additional day is considered one extended service) Post Conversion Services · • Certification letter · • Due Diligence statement · • 3 months post conversion · • Check extract files · • Check reports · • Check reports and extracts to CDs · • Communications with new agent as applicable · • Not applicable * Not applicable to terminations for non-dividend payers.. SCHEDULE B - INSURANCE REQUIREMENTS During the term of the Agreement to which this Schedule is attached, Transfer Agent shall maintain the following insurance coverages:
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