Common use of Vision Mutual Fund Gateway Clause in Contracts

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. ● Inquiry Only ● Inquiry - $[ ] per event ● Per broker ID - $[ ] per month per ID ● Transaction Processing ● Implementation - $[ ] per management company ● Transaction – purchase, redeem, exchange, literature order - $[ ] per event ● New Account Set-up – may contain multiple fund/accounts - $[ ] per event ● Monthly Minimum Charge - $[ ] per month FAN MAIL – 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 - $[ ] or $[ ]/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. ● Setup - $[ ] ● Service - $[ ]/month/user ● Access to the following systems included: ● BDS – Statement Storage and Retrieval ● ReportSource – Mainframe T/A Report Library ● T/A Imaging – Thin Client AWD ● FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ● $[ ] per year per workstation for TA2000 AWD access ● Plus data communications setup and monthly charges based upon location and bandwidth ● Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES ● On-site at USBFS - $[ ] per day ● At client location - $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended Exhibit U (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at February, 2009 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● [ ] days or less – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ] days – [ ] year - $[ ] /open account ● [ ] year – [ ] years - $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/year

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

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Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. Inquiry Only Inquiry - $[ ] per event ● ___ /event − Per broker ID - $[ ] per month ___ /month per ID Transaction Processing Implementation - $[ ] per management ___ /management company Transaction – purchase, redeem, exchange, literature order - $[ ] per event ● ___ /event − New Account Set-up – may contain multiple fund/accounts - $[ ] per event ● ___ /event − Monthly Minimum Charge - $[ ] per month ___ /month VISION ELECTRONIC STATMENTS Provides the capability for financial intermediaries to access electronic statements via the Vision application.* ■ Implementation Fees − Develop eBusiness Solutions Software - $___ /fund group − Code Print Software - $___ ■ Load charges − $___ /image ■ Archive charge (for any image stored beyond 2 years) − $___ /document *Normal Vision ID and activity charges also apply. O’Xxxxxxxxxxx Amended Exhibit U to the Advisors Series Trust Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE at June, 2010 FAN MAIL 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 ● ___ /year ■ Per Record Charge Rep/Branch/ID - $[ ] ● ___ − Dealer - $[ ] ● ___ ■ Price Files - $[ ] ___ or $[ ]/user/___ /user per month, whichever is less CLIENT Web DATA ACCESS USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. ● Setup ■ Setup: MFx Portal - $[ ] ● ___ ■ Service - $[ ]/month/user ● ___ /user per month ■ Access to the following systems included: BDS – Statement Storage and Retrieval ReportSource – Mainframe T/A Report Library T/A Imaging – Thin Client AWD FundSource – Comprehensive Fund Information − 3270 – T/A Mainframe Access ■ Custom Electronic File Exchange (DDS of delivery of TIP files) - $___ one time setup fee CLIENT DEDICATED LINE DATA ACCESS For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: $[ ] per year ___ /year per workstation for TA2000 AWD access Plus data communications setup and monthly charges based upon location and bandwidth Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES On-site at USBFS - $[ ] per day ● ___ /day ■ At client location - $[ ] per day ___ /day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended Exhibit U (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at February, 2009 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● [ ] days or less – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ] days – [ ] year - $[ ] /open account ● [ ] year – [ ] years - $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/yearO’Xxxxxxxxxxx

Appears in 1 contract

Samples: Advisors Series Trust (Advisors Series Trust)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. · Inquiry Only · Inquiry - $[ ] ___ per event · Per broker ID - $[ ] ___ per month per ID · Transaction Processing · Implementation - $[ ] ___ per management company · Transaction – purchase, redeem, exchange, literature order - $[ ] ___ per event · New Account Set-up – may contain multiple fund/accounts - $[ ] ___ per event · Monthly Minimum Charge - $[ ] ___ per month FAN MAIL – 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 - $[ ] ____ or $[ ]____/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. · Setup - $[ ] ● ____ · Service - $[ ]/month____month/user · Access to the following systems included: · BDS – Statement Storage and Retrieval · ReportSource – Mainframe T/A Report Library · T/A Imaging – Thin Client AWD · FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: · $[ ] _____ per year per workstation for TA2000 AWD access · Plus data communications setup and monthly charges based upon location and bandwidth · Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES · On-site at USBFS - $[ ] ____ per day · At client location - $[ ] ____ per day plus travel and out-of-pocket expenses Advisor’s Signature not required as below acknowledges approval of August 14, 2012 as the fees are not being changedfee schedule above. Amended Congress Asset Management Company LLP By: /s/Bxxxx X. Xxxxxx Name: Bxxxx X. Xxxxxx Title: Director of Operations Date: 3/9/2009 Exhibit U (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at February, 2009 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● [ ] · 90 days or less – $[ ] __ /open account ● [ ]· 91-[ ] 180 days – $[ ] __ /open account ● [ ]· 181-[ ] 270 days – $[ ] __ /open account ● [ ] · 271 days – [ ] 1 year - $[ ] __ /open account ● [ ] · 1 year – [ ] 2 years - $[ ] __ /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/year

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. · Inquiry Only · Inquiry - $[ ] _____ per event · Per broker ID - $[ ] _____ per month per ID · Transaction Processing · Implementation - $[ ] _____ per management company · Transaction – purchase, redeem, exchange, literature order - $[ ] _____ per event · New Account Set-up – may contain multiple fund/accounts - $[ ] _____ per event · Monthly Minimum Charge - $[ ] _____ per month FAN MAIL – 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 - $[ ] _____ or $[ ]_____/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. · MFS Systems (includes COLD and On Line Report view applications) · Setup - $[ ] ● _____ (includes 2 workstations) · Service - $[ ]/month/user ● Access to the following systems included: ● BDS – Statement Storage and Retrieval ● ReportSource – Mainframe T/A _____/month · Report Library ● Source · No Setup Charge · $_____/month per reporting category · T/A Imaging – Thin Client AWD ● FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ● $[ ] per year per workstation for TA2000 AWD access ● Plus data communications setup and monthly charges based upon location and bandwidth ● Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES ● On-site at USBFS · Setup - $[ ] per day ● At client location - _____ (includes 2 workstations) · $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended _____/month · Fund Source · No Setup Charge · $_____/month Exhibit U D (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL – Prospector Funds, Inc. CHIEF COMPLIANCE OFFICER SUPPORT SERVICES FEE SCHEDULE at FebruaryOctober 1, 2009 Short-Term Trader – Software application used Chief Compliance Officer Support Services U.S, Bancorp provides support to track and/or assess transaction fees that the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLC. Indicated below are determined samples of functions performed by USBFS in this CCO support role: • Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services • Daily Resource to be short-term tradesFund CCO, Fund Board, Advisor • Provide USBFS/USB Critical Procedures & Compliance Controls • Daily and Periodic Reporting • Periodic CCO Conference Calls • Dissemination of Industry/Regulatory Information • Client & Business Line CCO Education & Training • Due Diligence Review of USBFS Service Facilities • Quarterly USBFS Certification • Board Meeting Presentation and Board Support • Testing, Documentation, Reporting Annual Fee Schedule* · $_____ per service line per year Fees are billed monthly. Service can be applied *Subject to some or all funds within a fund family. ● [ ] days or less – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ] days – [ ] year - $[ ] /open account ● [ ] year – [ ] years - $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year Excessive Trader – Software application that monitors the number of trades (exchangesannual CPI increase, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/yearMilwaukee MSA.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Prospector Funds, Inc.)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. · Inquiry Only · Inquiry - $[ ] _____ per event · Per broker ID - $[ ] _____ per month per ID · Transaction Processing · Implementation - $[ ] _____ per management company · Transaction – purchase, redeem, exchange, literature order - $[ ] _____ per event · New Account Set-up – may contain multiple fund/accounts - $[ ] _____ per event · Monthly Minimum Charge - $[ ] _____ per month FAN MAIL – 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 - $[ ] _____ or $[ ]_____/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. · MFS Systems (includes COLD and On Line Report view applications) · Setup - $[ ] ● _____ (includes 2 workstations) · Service - $[ ]/month/user ● Access to the following systems included: ● BDS – Statement Storage and Retrieval ● ReportSource – Mainframe T/A _____/month · Report Library ● Source · No Setup Charge · $_____/month per reporting category · T/A Imaging – Thin Client AWD ● FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ● $[ ] per year per workstation for TA2000 AWD access ● Plus data communications setup and monthly charges based upon location and bandwidth ● Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES ● On-site at USBFS · Setup - $[ ] per day ● At client location - _____ (includes 2 workstations) · $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended _____/month · Fund Source · No Setup Charge · $_____/month Exhibit U D (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL CHIEF COMPLIANCE OFFICER SUPPORT SERVICES FEE SCHEDULE at FebruaryJune, 2009 Short2007 Chief Compliance Officer Support Services U.S, Bancorp provides support to the Chief Compliance Officer (CCO) of each fund serviced either by U.S. Bancorp Fund Services, LLC or Quasar Distributors, LLC. Indicated below are samples of functions performed by USBFS in this CCO support role: • Business Line Functions Supported • Fund Administration and Compliance • Transfer Agent and Shareholder Services • Fund Accounting • Custody Services • Securities Lending Services • Distribution Services • Daily Resource to Fund CCO, Fund Board, Advisor • Provide USBFS/USB Critical Procedures & Compliance Controls • Daily and Periodic Reporting • Periodic CCO Conference Calls • Dissemination of Industry/Regulatory Information • Client & Business Line CCO Education & Training • Due Diligence Review of USBFS Service Facilities • Quarterly USBFS Certification • Board Meeting Presentation and Board Support • Testing, Documentation, Reporting Annual Fee Schedule* · $_____ per service line per year Fees are billed monthly. *Subject to annual CPI increase, Milwaukee MSA. Exhibit E Service Standards – Transfer Agency Services Transfer Agency Service Level Standards • Transaction and Account Processing – Financial Transactions 97% on date of receipt – Non-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds financial Transactions 100% within a fund family. ● [ ] days or less – $[ ] /open account ● [ ]-[ ] 2 business days – $[ ] /open account ● [ ]-[ ] Transfers (non Qualified Plans) 100% within 2 business days – $[ ] /open account ● [ ] Adjustment Transactions 100% within 2 business days – [ ] year Accuracy Ratio Greater than 96% of financial transactions – Quality Control of Financial Transactions 70% on date of receipt • Mailing of Shareholder Items – Shareholder Statements 100% within 5 business days – Liquidation Checks 100% within 1 business day – Client Reports - $[ ] /open Daily 100% within 1 business day – Client Reports - Month End 100% within 3 business days – Wire Order Confirmations 100% within 1 business day • Investor Services – Services Level Goal 80% answered within 20 seconds (N/A) – Average Speed of Answer Less than 15 seconds (N/A) – Research Requests Research on items generated with past 7 years = 2 business days; Research on items generated older than 7 years = 3 business days – Call Backs (Calls received prior to/after Noon) 100% same day/100% prior to Noon next business day – Fulfillment 100% mailed within next business day • Correspondence – Respond to Written Requests 100% within 5 business days – Qualified Plan Transfer-In Requests 100% account ● [ ] year establishment and custodial acceptance mailing within 4 business days [ ] years - $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/yearQualified Plan Second Requests 100% within 2 business days • Daily Cash Communication Prior to 9:30 A.X. XX XX 00000 0009 791709

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Prospector Funds, Inc.)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only Inquiry - $[ ] per event ● 0.05 /event – Per broker ID - $[ ] per month 5.00 /month per ID § Transaction Processing Implementation - $[ ] per management 5,000 /management company Transaction – purchase, redeem, exchange, literature order - $[ ] per event ● 0.50 /event – New Account Set-up Setup – may contain multiple fund/accounts - $[ ] per event ● 3.00 /event – Monthly Minimum Charge - $[ ] per month 500 /month VISION ELECTRONIC STATMENTS Provides the capability for financial intermediaries to access electronic statements via the Vision application.* § Implementation Fees – Develop eBusiness Solutions Software - $24,000 /fund group – Code Print Software - $10,000 § Load charges – $0.050 /image § Archive charge (for any image stored beyond 2 years) – $0.015 /document *Normal Vision ID and activity charges also apply. Exhibit B (continued) to the Amended and Restated Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE effective 7/1/09 through 6/30/14 FAN MAIL 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 ● 6,000 /year § Per Record Charge Rep/Branch/ID - $[ ] ● .018 – Dealer - $[ ] ● 0.012 § Price Files - $[ ] 0.002 or $[ ]/user/1.75 /user per month, whichever is less CLIENT Web DATA ACCESS USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. ● Setup § Setup: MFx Portal - $[ ] ● 3,000 § Service - $[ ]/month/user ● 200 /user per month § Access to the following systems included: BDS – Statement Storage and Retrieval ReportSource – Mainframe T/A Report Library T/A Imaging – Thin Client AWD FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ● $[ ] per year per workstation for TA2000 AWD access ● Plus data communications setup and monthly charges based upon location and bandwidth ● Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES ● On-site at USBFS 3270 – T/A Mainframe Access § Custom Electronic File Exchange (DDS of delivery of TIP files) - $[ ] per day ● At client location - $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended Exhibit U (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at February, 2009 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● [ ] days or less – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ] days – [ ] year - $[ ] /open account ● [ ] year – [ ] years - $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/year2,500 one time setup fee

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Artio Global Equity Fund Inc)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. · Inquiry Only · Inquiry - $[ ] .05 per event · Per broker ID - $[ ] 5.00 per month per ID · Transaction Processing · Implementation - $[ ] 5,000 per management company · Transaction – purchase, redeem, exchange, literature order - $[ ] .50 per event · New Account Set-up – may contain multiple fund/accounts - $[ ] 3.00 per event · Monthly Minimum Charge - $[ ] 500.00 per month FAN MAIL – 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 - $[ ] 6,000 per year · Per Record Charge · Rep/Branch/ID - $[ ] ● .018 · Dealer - $[ ] ● .012 · Price Files - $[ ] .002 or $[ ]/user1.75/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. · Setup - $[ ] ● 3,000 · Service - $[ ]/month200/month/user · Access to the following systems included: · BDS – Statement Storage and Retrieval · ReportSource – Mainframe T/A Report Library · T/A Imaging – Thin Client AWD · FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: · $[ ] 7,000 per year per workstation for TA2000 AWD access · Plus data communications setup and monthly charges based upon location and bandwidth · Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES · On-site at USBFS - $[ ] 300.00 per day · At client location - $[ ] 300.00 per day plus travel and out-of-pocket expenses Advisor’s Signature not required as below acknowledges approval of August 14the fee schedule above. DSM Capital Partners LLC By: /s/X.X. Xxxxxxxxx Name and Title: X.X. Xxxxxxxxx, 2012 as the fees are not being changed. Amended Managing Member Date: 8/7/09 Exhibit U V (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at FebruaryJune, 2009 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● [ ] · 90 days or less – $[ ] .08 /open account ● [ ]· 91-[ ] 180 days – $[ ] .14 /open account ● [ ]· 181-[ ] 270 days – $[ ] .20 /open account ● [ ] · 271 days – [ ] 1 year - $[ ] .26 /open account ● [ ] · 1 year – [ ] 2 years - $[ ] .38 /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/year

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only Inquiry - $[ ] 0.05 per event Per broker ID - $[ ] 5.00 per month per ID § Transaction Processing Implementation - $[ ] 5,000 per management company Transaction – purchase, redeem, exchange, literature order - $[ ] 0.50 per event New Account Set-up – may contain multiple fund/accounts - $[ ] 3.00 per event Monthly Minimum Charge - $[ ] 500.00 per month FAN MAIL – 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 - $[ ] 6,000 per year § Per Record Charge Rep/Branch/ID - $[ ] ● .018 − Dealer - $[ ] ● 0.012 § Price Files - $[ ] 0.002 or $[ ]1.75 /user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. § Setup - $[ ] ● 3,000 § Service - $[ ]200 /month/user § Access to the following systems included: BDS – Statement Storage and Retrieval ReportSource – Mainframe T/A Report Library T/A Imaging – Thin Client AWD FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: § $[ ] 7,000 per year per workstation for TA2000 AWD access § Plus data communications setup and monthly charges based upon location and bandwidth § Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES § On-site at USBFS - $[ ] 300.00 per day § At client location - $[ ] 300.00 per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended Exhibit U W (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at FebruaryAugust 2009 - Xxxx Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, 2009 Shortincluding the following: Qualified Plan Fees § $15.00 /qualified plan acct (Cap at $30.00/SSN) § $15.00 /Xxxxxxxxx ESA acct (Cap at $30.00/SSN) § $25.00 /transfer to successor trustee § $25.00 /participant distribution (Excluding SWPs) § $25.00 /refund of excess contribution § $25.00 /reconversion/recharacterization Additional Shareholder Paid Fees § $15.00 /outgoing wire transfer § $15.00 /overnight delivery § $5.00 /telephone exchange § $25.00 /return check or ACH § $25.00 /stop payment § $5.00 /research request per account (Cap at $25.00/request) (For requested items of the second calendar year [or previous] to the request) Programming Charges Charges incurred for customized services based upon fund family requirements including but not limited to: § Fund setup programming (transfer agent system, statements, options, etc.) – estimate 10 hours per CUSIP § Select reports – shareholder system queries for customized reporting, mailings, etc. § File transmissions of client requested shareholder data file extracts § Conversion programming § Customized service development § Voice response system setup (menu selections, shareholder system integration, testing, etc.) – estimated at 3 hours per fund family § All other client specific customization and/or development services Literature Fulfillment Services § Account Management − $250 /month (account management, lead reporting and database administration) § Out-Term Trader – Software application used to track and/or assess transaction fees that are determined to be shortof-term trades. Service can be applied to some or all funds within a fund family. ● [ ] days or less – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ] days – [ ] year Pocket Expenses − kit and order processing expenses, postage, and printing § Inbound Teleservicing Only − Account Management - $[ ] /open account ● [ ] year – [ ] years 250 /month − Call Servicing - $[ ] /open account Cost Basis 5.00 /per minute § Lead Conversion Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● − Account Management- $[ ] /direct open account/year Excessive Trader – Software application that monitors the number of trades 500 /month − Database Installation, Setup -$1,500 /fund group − Specialized Programming - (exchangesSeparate Quote)* § Web On-line Fund Fulfillment − Account Management- $500 /month − Installation, redemptions) that meet fund family criteria for excessive trading Setup - $2,500 /fund group − Per Literature Order - $0.40 /request § Follow-up Services − Correspondence - $5.00 /item Fees exclude postage and automatically prevents trades in excess of the fund family parameters. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/yearprinting charges.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. § Inquiry Only Inquiry - $[ […] per event Per broker ID - $[ […] per month per ID § Transaction Processing Implementation - $[ […] per management company Transaction – purchase, redeem, exchange, literature order - $[ […] per event New Account Set-up – may contain multiple fund/accounts - $[ […] per event Monthly Minimum Charge - $[ […] per month FAN MAIL – 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 - $[ […] or $[ ][…] /user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. ● Setup - $[ ] ● Service - $[ ]/month/user ● Access to the following systems included: ● BDS – Statement Storage and Retrieval ● ReportSource – Mainframe T/A Report Library ● T/A Imaging – Thin Client AWD ● FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ● $[ ] per year per workstation for TA2000 AWD access ● Plus data communications setup and monthly charges based upon location and bandwidth ● Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES ● On-site at USBFS - $[ ] per day ● At client location - $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended Exhibit U T (continued) to the PMP Managed Portfolio Series Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at FebruaryNovember, 2009 Short2014 Charges Paid by Investors Shareholder accounts will be charged based upon the type of activity and type of account, including the following: Qualified Plan Fees § $[…] /qualified plan acct (Cap at $[…] /SSN) § $[…] /Cxxxxxxxx ESA acct (Cap at $[…] /SSN) § $[…] /transfer to successor trustee § $[…] /participant distribution (Excluding SWPs) § $[…] /refund of excess contribution § $[…] /reconversion/recharacterization Additional Shareholder Paid Fees § $[…] /outgoing wire transfer § $[…] /overnight delivery § $[…] /telephone exchange § $[…] /return check or ACH § $[…] /stop payment § $[…] /research request per account (Cap at $[…] /request) (For requested items of the second calendar year [or previous] to the request) Literature Fulfillment Services (if required) § Account Management − $[…] /month (account management, lead reporting and database administration) § Out-Term Trader – Software application used to track and/or assess transaction fees that are determined to be shortof-term trades. Service can be applied to some or all funds within a fund family. ● [ ] days or less – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ] days – [ ] year Pocket Expenses − kit and order processing expenses, postage, and printing § Inbound Teleservicing Only − Account Management - $[ […] /open account ● [ ] year – [ ] years /month − Call Servicing - $[ […] /open account Cost Basis /per minute § Lead Conversion Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● − Account Management- $[ […] /direct open account/year Excessive Trader – Software application that monitors the number of trades /month − Database Installation, Setup -$[…] /fund group − Specialized Programming - (exchangesSeparate Quote)* § Web On-line Fund Fulfillment − Account Management- $[…] /month − Installation, redemptions) that meet fund family criteria for excessive trading Setup - $[…] /fund group − Per Literature Order - $[…] /request § Follow-up Services − Correspondence - $[…] /item Fees exclude postage and automatically prevents trades in excess of the fund family parameters. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/yearprinting charges.

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Managed Portfolio Series)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. · Inquiry Only · Inquiry - $[ ] ___ per event ● event= · Per broker ID - $[ ] ___ per month per ID · Transaction Processing · Implementation - $[ ] ___ per management company · Transaction – purchase, redeem, exchange, literature order - $[ ] ___ per event · New Account Set-up – may contain multiple fund/accounts - $[ ] ___ per event · Monthly Minimum Charge - $[ ] ___ per month FAN MAIL – 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 - $[ ] ____ or $[ ]___/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. · Setup - $[ ] ● ___ · Service - $[ ]___/month/user · Access to the following systems included: · BDS – Statement Storage and Retrieval · ReportSource – Mainframe T/A Report Library · T/A Imaging – Thin Client AWD · FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: · $[ ] ____ per year per workstation for TA2000 AWD access · Plus data communications setup and monthly charges based upon location and bandwidth · Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES · On-site at USBFS - $[ ] ___ per day · At client location - $[ ] ____ per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended Xxxxxx Xxxxxxx Exhibit U C (continued) to the PMP Transfer Agent Servicing Agreement – Trust for Professional Managers TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at FebruaryApril, 2009 2010 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● [ ] · 90 days or less – $[ ] ___ /open account ● [ ]· 91-[ ] 180 days – $[ ] ___ /open account ● [ ]· 181-[ ] 270 days – $[ ] ___ /open account ● [ ] · 271 days – [ ] 1 year - $[ ] ___ /open account ● [ ] · 1 year – [ ] 2 years - $[ ] ___ /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/year

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

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Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. · Inquiry Only · Inquiry - $[ ] per event · Per broker ID - $[ ] per month per ID · Transaction Processing · Implementation - $[ ] per management company · Transaction – purchase, redeem, exchange, literature order - $[ ] per event · New Account Set-up – may contain multiple fund/accounts - $[ ] per event · Monthly Minimum Charge - $[ ] per month FAN MAIL – 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 - $[ ] or $[ ]/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. · MFS Systems (includes COLD and On Line Report view applications) · Setup - $[ ] (includes [ ] workstations) · Service - $[ ]/month/user ● Access to the following systems included: ● BDS – Statement Storage and Retrieval ● ReportSource – Mainframe T/A /month · Report Library ● Source · No Setup Charge · $[ ]/month per reporting category · T/A Imaging – Thin Client AWD ● FundSource – Comprehensive · Setup - $[ ] (includes [ ] workstations) · $[ ]/month · Fund Information Source · No Setup Charge · $[ ]/month CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: · $[ ] per year per workstation for TA2000 AWD access · Plus data communications setup and monthly charges based upon location and bandwidth · Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES · On-site at USBFS - $[ ] per day · At client location - $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended Exhibit U R (continued) to the PMP Separate Series of the Advisors Series Trust Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at FebruaryJuly 1, 2009 ShortB.O.S.S – Business On-Term Trader – line Sales Reporting Solution Monthly Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● Subscription Services: · Access Per B.O.S.S. User: $[ ] days or less – ]/month/user Implementation and Support Services: · Implementation - $[ ] /open account ● first user ID; each additional user ID is $[ ] – Includes project management and data/internet portal integration applicable to Transfer Agent data flow (up to [ ] years of historical data included). Additional setup requirements will be charged at Development hourly rate. · Training - $[ ] (includes [ ]-day session at USBFS site for up to [ ] participants on core product) · Development - $[ ]/hour - customization of B.O.S.S. product, requests for customized reports, etc. · Additional Options - Report Writing, Sub-Account Data Integration – Quoted separately based upon requirements Data Management Services: · Data Storage Charge – Over [ ] years of data (No charge for less than [ ] years of data) · Fund Group Account Base (Open/Closed) – Under [ ] - $[ ] per month · Fund Group Account Base (Open/Closed) – Over [ ] - $[ ] per month · Monthly service fees (extracting/ storing daily transaction data). Fee based upon records processed: · [ ]-[ ] days records/month – $[ ] /open account ● ]/month · [ ]-[ ] days records/month – $[ ] /open account ● [ ] days – [ ] year - $[ ] /open account ● [ ] year – [ ] years - $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year Excessive Trader – Software application that monitors the number of trades ]/month (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /accountrecords/yearmonth quoted separately)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Advisors Series Trust)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. Inquiry Only Inquiry - $[ ] per event ● ___/event – Per broker ID - $[ ] per month ___/month per ID Transaction Processing Implementation - $[ ] per management ___/management company Transaction – purchase, redeem, exchange, literature order - $[ ] per event ● ___/event – New Account Set-up – may contain multiple fund/accounts - $[ ] per event ● ___/event – Monthly Minimum Charge - $[ ] per month ___/month VISION ELECTRONIC STATMENTS Provides the capability for financial intermediaries to access electronic statements via the Vision application.* ■ Implementation Fees – Develop eBusiness Solutions Software - $___/fund group – Code Print Software - $___ ■ Load charges – $___/image ■ Archive charge (for any image stored beyond 2 years) – $___/document *Normal Vision ID and activity charges also apply. Amended Exhibit C (continued) to the Transfer Agent Servicing Agreement Trust for Professional Managers – Convergence TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES - E-COMMERCE SERVICES FEE SCHEDULE at February 1, 2013 FAN MAIL 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 ● ___/year – Per Record Charge Rep/Branch/ID - $[ ] ● ___ – Dealer - $[ ] ● ___ ■ Price Files - $[ ] ___or $[ ]/user/___/user per month, whichever is less CLIENT Web DATA ACCESS USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. ● Setup ■ Setup: MFx Portal - $[ ] ● ___ ■ Service - $[ ]/month/user ● ___ /user per month ■ Access to the following systems included: BDS – Statement Storage and Retrieval ReportSource – Mainframe T/A Report Library T/A Imaging – Thin Client AWD FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ● $[ ] per year per workstation for TA2000 AWD access ● Plus data communications setup and monthly charges based upon location and bandwidth ● Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES ● On-site at USBFS 3270 – T/A Mainframe Access ■ Custom Electronic File Exchange (DDS of delivery of TIP files) - $[ ] per day ● At client location - $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended Exhibit U (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at February, 2009 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● [ ] days or less – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ] days – [ ] year - $[ ] /open account ● [ ] year – [ ] years - $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/year___one time setup fee

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. · Inquiry Only · Inquiry - $[ ] per event · Per broker ID - $[ ] per month per ID · Transaction Processing · Implementation - $[ ] per management company · Transaction – purchase, redeem, exchange, literature order - $[ ] per event · New Account Set-up – may contain multiple fund/accounts - $[ ] per event · Monthly Minimum Charge - $[ ] per month FAN MAIL – 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 - $[ ] or $[ ]/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. · Setup - $[ ] · Service - $[ ]/month/user · Access to the following systems included: · BDS – Statement Storage and Retrieval · ReportSource – Mainframe T/A Report Library · T/A Imaging – Thin Client AWD · FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: · $[ ] per year per workstation for TA2000 AWD access · Plus data communications setup and monthly charges based upon location and bandwidth · Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES · On-site at USBFS - $[ ] per day · At client location - $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not changing – only DSM Global Growth & Income Fund is being changedadded. Amended Exhibit U V (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at FebruaryJune, 2009 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● [ ] · 90 days or less – $[ ] /open account ● [ ]· 91-[ ] 180 days – $[ ] /open account ● [ ]· 181-[ ] 270 days – $[ ] /open account ● [ ] · 271 days – [ ] 1 year - $[ ] /open account ● [ ] · 1 year – [ ] 2 years - $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/year

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use us a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. · Inquiry Only · Inquiry - $[ ] ____ per event · Per broker ID - $[ ] ____ per month per ID · Transaction Processing · Implementation - $[ ] ____ per management company · Transaction – purchase, redeem, exchange, literature order - $[ ] ____ per event · New Account Set-up – may contain multiple fund/accounts - $[ ] ____ per event · Monthly Minimum Charge - $[ ] ____ per month FAN MAIL – 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 - $[ ] ____ or $[ ]____/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. · MFS Systems (includes COLD and On Line Report view applications) · Setup - $[ ] ● ____ (includes 2 workstations) · Service - $[ ]/month/user ● Access to the following systems included: ● BDS – Statement Storage and Retrieval ● ReportSource – Mainframe T/A ____/month · Report Library ● Source · No Setup Charge · $____/month per reporting category · T/A Imaging – Thin Client AWD ● FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ● $[ ] per year per workstation for TA2000 AWD access ● Plus data communications setup and monthly charges based upon location and bandwidth ● Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES ● On-site at USBFS · Setup - $[ ] per day ● At client location - ____ (includes 2 workstations) · $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not being changed. Amended ____/month · Fund Source · No Setup Charge · $____/month Exhibit U C (continued) to the PMP Transfer Agent Servicing Agreement – Trust for Professional Managers TRANSFER AGENT & SHAREHOLDER SERVICES - Geneva SUPPLEMENTAL SERVICES FEE SCHEDULE at FebruarySeptember, 2009 Short2007 B.O.S.S – Business On-Term Trader line Sales Reporting Solution Monthly Software Subscription Services: · Access Per B.O.S.S. User: $____ /month/user Implementation and Support Services: · Implementation - $____ first user ID; each additional user ID is $____ Software application used Includes project management and data/internet portal integration applicable to track and/or assess Transfer Agent data flow (up to 2 years of historical data included). Additional setup requirements will be charged at Development hourly rate. · Training - $____ (includes 1-day session at USBFS site for up to 10 participants on core product) · Development - $____ /hour - customization of B.O.S.S. product, requests for customized reports, etc. · Additional Options - Report Writing, Sub-Account Data Integration – Quoted separately based upon requirements Data Management Services: · Data Storage Charge – Over 2 years of data (No charge for less than 2 years of data) · Fund Group Account Base (Open/Closed) – Under 500,000 - $____ per month · Fund Group Account Base (Open/Closed) – Over 500,000 - $____ per month · Monthly service fees (extracting/ storing daily transaction fees that are determined to be shortdata). Fee based upon records processed: · 1-term trades. Service can be applied to some or all funds within a fund family. ● [ ] days or less 25,000 records/month – $[ ] /open account ● [ ]____ /month · 25,001-[ ] days 50,000 records/month – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ] days – [ ] year - $[ ] /open account ● [ ] year – [ ] years - $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account____ /month (over 50,000 records/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/yearmonth quoted separately)

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Trust for Professional Managers)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. ● Inquiry Only ● Inquiry - $[ ] per event ● Per broker ID - $[ ] per month per ID ● Transaction Processing ● Implementation - $[ ] per management company ● Transaction – purchase, redeem, exchange, literature order - $[ ] per event ● New Account Set-up – may contain multiple fund/accounts - $[ ] per event ● Monthly Minimum Charge - $[ ] per month FAN MAIL – 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 - $[ ] or $[ ]/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. ● Setup - $[ ] ● Service - $[ ]/month/user ● Access to the following systems included: ● BDS – Statement Storage and Retrieval ● ReportSource – Mainframe T/A Report Library ● T/A Imaging – Thin Client AWD ● FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: ● $[ ] per year per workstation for TA2000 AWD access ● Plus data communications setup and monthly charges based upon location and bandwidth ● Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES ● On-site at USBFS - $[ ] per day ● At client location - $[ ] per day plus travel and out-of-pocket expenses Advisor’s Signature not required as of August 14, 2012 as the fees are not changing – only the DSM Small-Mid Cap Growth Fund is being changedadded. DSM – 03/2013 Amended Exhibit U V (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at FebruaryJune, 2009 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. ● [ ] days or less – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ]-[ ] days – $[ ] /open account ● [ ] days – [ ] year - $[ ] /open account ● [ ] year – [ ] years - $[ ] /open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. ● $[ ] /direct open account/year 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. ● $[ ] setup/fund group of [ ]-[ ] funds, $[ ] setup/fund group of over [ ] funds ● $[ ] /account/year

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

Vision Mutual Fund Gateway. Permits broker/dealers, financial planners, and RIAs to use a web-based system to perform order and account inquiry, execute trades, print applications, review prospectuses, and establish new accounts. · Inquiry Only · Inquiry - $[ ] per event · Per broker ID - $[ ] per month per ID · Transaction Processing · Implementation - $[ ] per management company · Transaction – purchase, redeem, exchange, literature order - $[ ] per event · New Account Set-up – may contain multiple fund/accounts - $[ ] per event · Monthly Minimum Charge - $[ ] per month FAN MAIL – 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 - $[ ] or $[ ]/user/month, whichever is less CLIENT Web DATA ACCESS – USBFS client on-line access to fund and investor data through USBFS technology applications and data delivery and security software. · Setup - $[ ] · Service - $[ ]/month/user · Access to the following systems included: · BDS – Statement Storage and Retrieval · ReportSource – Mainframe T/A Report Library · T/A Imaging – Thin Client AWD · FundSource – Comprehensive Fund Information CLIENT DEDICATED LINE DATA ACCESS – For USBFS clients requiring continuous on-line access to USBFS shareholder accounting systems, such as for client call center support: · $[ ] per year per workstation for TA2000 AWD access · Plus data communications setup and monthly charges based upon location and bandwidth · Plus training billed at hourly rates plus out-of-pocket expenses TRANSFER AGENT TRAINING SERVICES · On-site at USBFS - $[ ] per day · At client location - $[ ] per day plus travel and out-of-pocket expenses [Advisor’s Signature not required as of August 14, 2012 as the fees are not changing – only the DSM Global Growth Fund is being changed. Amended added] Exhibit U V (continued) to the PMP Transfer Agent Servicing Agreement TRANSFER AGENT & SHAREHOLDER SERVICES SUPPLEMENTAL SERVICES FEE SCHEDULE at FebruaryJune, 2009 Short-Term Trader – Software application used to track and/or assess transaction fees that are determined to be short-term trades. Service can be applied to some or all funds within a fund family. · [ ] days or less – $[ ] ]/open account · [ ]-- [ ] days – $[ ] ]/open account · [ ]-- [ ] days – $[ ] ]/open account · [ ] days – [ ] year - $[ ] ]/open account · [ ] year – [ ] years - $[ ] ]/open account Cost Basis Reporting – Annual reporting of shareholder cost basis for direct accounts based upon an average cost single category basis calculation. · $[ ] ]/direct open account/year 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. · $[ ] setup/fund group of [ ]1-[ ] 5 funds, $[ ] setup/fund group of over [ ] 5 funds · $[ ] /account/year

Appears in 1 contract

Samples: Transfer Agent Servicing Agreement (Professionally Managed Portfolios)

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