Physical Certificate Processing Sample Clauses
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family:
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup/fund group § $[ ] /certificate transaction Jumbo Pricing (JUMBO) – allows grouping of accounts for the purpose of calculating the advanced commission paid to a dealer. § $[ ] /account group per year Expedited CUSIP Setup - $[ ] /CUSIP (Less than [ ] days)
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup per fund group § $[ ] per certificate transaction § Implementation (one time charge) & Recurring Charges (monthly) - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] - [ ] Users – $[ ] § Training - WebEx - $[ ] per user - On Site at USBFS - $[ ] per day - At Client Location - $[ ] per day plus travel and miscellaneous expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] per hour ([ ] hour estimate) - Recurring (per feed) - $[ ] per month MARS Lite Setup and Implementation Fee Schedule § $[ ] – MARS Base Sales Reporting and 22c-2 Compliance Modules (Includes up to two years of DST/TA2000 data) § $[ ] - $[ ] – Sales & Compliance Reporting * Includes Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Includes interfaces for Schwab, Fidelity and OmniServ. ** Does not provide user access or CRM functionality. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Standard Interface Setup (cost per interface) § $[ ] – OmniServ Setup § $[ ] – Additional OmniServ Interface MARS Sales Reporting & Compliance Services Supplemental Services Fee Schedule at May, 2016 § $[ ] - MARS Base Sales Reporting Module, MARS Base Core CRM Module, MARS Base 22c-2 Compliance Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] - MARS Base 22c-2 Compliance Only Module (Includes up to [ ] years of DST/TA2000 data) § $[ ] – MARS Sales & Compliance Reporting (includes [ ] users & [ ] compliance users) § $[ ] – MARS Sales Reporting (includes [ ] users) § $[ ] – MARS Compliance Reporting (includes [ ] users) § $[ ] – Enhanced Services* * Includes up to [ ] hours per month of Enhanced Services. Basic support components, file import assistance, data scrubbing (cleaning of firm, office, and rep information), database query requests, compliance report monitoring/review/analysis, and business requirements analysis. Additional Enhanced Services support can be negotiated. § $[ ] – Custom Data Interface Setup (cost per interface) § $[ ] – Albridge Analytics Integration Setup § $[ ] – RIA Feed Setup § $[ ] – CFG Fulfillment Setup § $[ ] – iPad Setup § $[ ] – iPhone or Blackberry Setup § $[ ] – Google Maps Integration...
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: ● $[ ] setup/fund group ● $[ ] /certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: ● $[ ] setup/fund group ● $[ ] /month administration ● $[ ] /received e-mail correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. ● $[ ] per fund group per month
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: · $750 setup/fund group · $10.00 per certificate transaction
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $___ setup /fund group § $___ /certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: § $___ setup /fund group § $___ /month administration § $___ /received e-mail correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $___ /fund group per month FAF Money Market Fund Service Organizations § $___ /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. § Setup - $___ /fund group § Annual Fee - $___ /open and closed account Mariner
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $_____ setup /fund group § $_____ /certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: § $_____ setup /fund group § $_____ /month administration § $_____ /received e-mail correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. § $_____ /fund group per month FAF Money Market Fund Service Organizations § $_____ /money market share class per year § Out-of-pocket expenses (see Transfer Agent Fee Schedule) Shareholder Performance Statements – We have a variety of features available for providing account or portfolio level performance information on investor statements. Actual costs will depend upon specific client requirements. § Setup - $_____ /fund group § Annual Fee - $_____ /open and closed account
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § __ setup per fund group § __ per certificate transaction § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – __
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: · $ XXXX setup/fund group · $ XXXX per certificate transaction E-Mail Services – Services to capture, queue, monitor, service and archive shareholder e-mail correspondence: · $ XXXX setup/fund group · $ XXXX /month administration · $ XXXX /received e-mail correspondence Dealer Reclaim Services – Services reclaim fund losses due to the pricing differences for dealer trade adjustments such as between dealer placed trades and cancellations. There will be no correspondence charges related to this service. $500 /month Amended Exhibit E (continued) to the Transfer Agent Servicing Agreement Supplemental Services at August, 2015 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 · $ XXXX /qualified plan SSN · $ XXXX /C▇▇▇▇▇▇▇▇ ESA SSN · $ XXXX lifetime I▇▇ fee per SSN Additional Shareholder Paid Fees · $ XXXX /outgoing wire transfer · $ XXXX /overnight delivery 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 FULFILLMENT SERVICES Fulfillment Services for Fund Literature (Prospect Services) Account Management $ XXXX/month Receiving $ XXXX per SKU Order Processing $ XXXX /order Skid Storage $ XXXX /month Disposal $ XXXX Miscellaneous Fees Postage Pass Through Print on Demand Quoted Separately Premium Fulfillment Services (Collateral, Fund Give Aways) Receiving $ XXXX per SKU Order Processing $ XXXX /order Skid Storage $ XXXX /month Disposal $ XXXX Repackaging and Labeling $ XXXX /hour Miscellaneous Fees Postage = Pass Through eDelivery of Correspondence Personalization of Copy $ XXXX Standard Correspondence fee applies Inbound Teleservicing Only · Account Management - $ XXXX /month · Call Servicing - $ XXXX /per minute Lead Conversion Reporting · Database Installatio...
Physical Certificate Processing. Services to support the setup and processing of physical certificated shares for a fund family: § $[ ] setup per fund group § $[ ] per certificate transaction § Implementation (one time charge) & Recurring Charges (monthly) - 5 Users – $[ ] - 10 Users – $[ ] - 20 Users – $[ ] - 30 Users – $[ ] - 40 Users – $[ ] - 50 Users – $[ ] § Training - WebEx - $[ ] per user - On Site at USBFS - $[ ] per day - At Client Location - $[ ] per day plus travel and out-of-pocket expenses if required § Real Time Data Feeds - Implementation (per feed) - $[ ] per hour (8 hour estimate) - Recurring (per feed) - $[ ] per month MARS Sales Reporting Module1 $ [ ] MARS Compliance Module2 $ [ ] MARS Sales & Compliance Modules3 $ [ ] $[ ] Notes: