▪ | Base Fee Per CUSIP __ /year first year, __ /year thereafter |
▪ | NSCC Level 3 Accounts __ /open account |
▪ | No-Load Fund Accounts __ /open account |
▪ | Load Fund Accounts __ /open account |
▪ | Closed Accounts __ /closed account |
▪ | Report Source - Client on-line access to fund and investor data. |
▪ | NSCC System Interface |
▪ | Short-Term Trader Reporting - Software application used to track and/or assess transaction fees that are determined to be short-term trades. |
▪ | Excessive Trader - Software application that monitors the number of trades (exchanges, redemptions) that meet fund family criteria for excessive trading and automatically prevents trades in excess of the fund family parameters. |
▪ | 12b-1 Aging - Aging shareholder account share lots in order to monitor and begin assessing 12b-1 fees after a certain share lot age. |
▪ | Manual Shareholder Transaction & Correspondence __ /event |
▪ | Omnibus Account Transaction __ /transaction |
▪ | Telephone Calls __ /month base fee plus __ /minute |
▪ | Voice Response Calls __ /call |
▪ | Daily Valuation/Manual 401k Trade __ /trade |
▪ | FAN Web Premium (Fund Groups over 50,000 open accounts) |
• | Implementation - __ /fund group - includes up to 25 hours of technical/BSA support |
• | Annual Base Fee - __ /year |
▪ | FAN Web Select (Fund Groups under 50,000 open accounts) |
• | Implementation - __/fund group - includes up to 10 hours of technical/BSA support |
• | Annual Base Fee - __ /year |
▪ | FAN Web Direct (API) - Quoted Separately |
▪ | Customization - __ /hour |
▪ | Activity (Session) Fees: |
• | Inquiry - __ /event |
• | Account Maintenance - __/event |
• | Transaction - financial transactions, reorder statements, etc. - __ /event |
• | New Account Setup - $3.00 /event (Not available with FAN Web Select) |
▪ | Strong Authentication: |
• | __ /month per active FAN Web ID (Any ID that has had activity within the 180-day period prior to the billing cycle) |
▪ | Initial Implementation Site Setup Fee - __ |
▪ | Monthly Base Fee - __ |
▪ | Transaction Fees: |
▪ | Base Fee Per Management Company - file generation and delivery - __/year |
▪ | Per Record Charge |
• | Rep/Branch/ID - __ |
• | Dealer - __ |
▪ | Price Files - __ /record or__ /user per month, whichever is less |
▪ | Inquiry Only |
• | Inquiry - __event |
• | Per broker ID - __ /month per ID |
▪ | Transaction Processing |
▪ | Implementation Fees |
• | __ /fund group |
▪ | Load charges |
• | __/image |
▪ | Archive charge (for any image stored beyond 2 years) |
• | __ /document |
▪ | BDS - Statement Storage & Retrieval |
▪ | Ad Hoc/ PowerSelect File Development |
• | Setup: __ /request (Includes up to 2 hours of programming. If beyond, additional time will be __ / hour consultation and development.) |
• | Support: __/file per month |
• | Files can be scheduled for delivery via Report Source. |
▪ | Custom Electronic File Exchange (DDS delivery of standard TIP files) |
• | Setup: __ one-time fee |
• | Support: __ /file per month |
▪ | Internet VPN - Infrastructure to allow for application accessibility to host systems and file transfers |
• | __ implementation |
• | __ /month |
▪ | Physical Network - Infrastructure to allow for application accessibility to host systems and file transfers |
• | Cost varies depending upon location and bandwidth |
▪ | TA2000 3270 Emulation (Mainframe Green Screen) - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access. |
• | __mplementation |
• | __ /ID per month |
▪ | TA2000 Desktop (Graphic User Interface to the TA2000 Mainframe) - Account inquiry and ability to perform financial transactions or account maintenance depending upon user access provisioning. |
• | __ implementation |
• | __ /ID per month |
▪ | TA2000 SmartDesk (Web Application to TA2000 Mainframe) - Account inquiry only. |
• | __ implementation |
• | __/ID per month |
▪ | Automated Work Distributor (AWD) - Image and workflow application. |
• | __mplementation |
• | __/ID per month |
▪ | Same Day Cash Management (SDCM) - Fund level transaction and cash reporting. |
• | __ implementation |
• | __ /ID per month |
▪ | PowerSelect - SQL database used for ad hoc reporting from the shareholder recordkeeping system. |
• | __/month |
▪ | __ /hour |
▪ | Charges incurred for customized services based upon fund family requirements including but not limited to: |
• | Fund setup programming (transfer agent system, statements, options, etc.) |
• | Conversion programming |
• | Customized service development |
• | Voice response system setup (menu selections, shareholder system integration, testing, etc.) |
• | All other client specific customization and/or development services |
▪ | On-site at USBFS - __ |
▪ | At Client Location - __/day plus travel and out-of-pocket expenses if required |
▪ | __ /direct open account per year |
▪ | __ setup /fund group |
▪ | __/month administration |
▪ | __ /received email correspondence |
▪ | __ /fund group per month |
▪ | Account Management |
• | __/month |
▪ | Inbound Teleservicing Only |
• | Account Management - __ /month |
• | Call Servicing - __ /minute |
▪ | Lead Conversion Reporting |
• | __0 /month |
▪ | Closed Loop Reporting |
• | Account Management -__/month |
• | Database Installation, Setup - __ /fund group |
▪ | Out-of-Pocket Expenses |
• | Included but not limited to specialized programming, kit and order processing expenses, postage, and printing. |
▪ | __ /money market share class per year |
▪ | Out-of-pocket expenses (see Transfer Agent Fee Schedule) |
▪ | __ /qualified plan account or Coverdell ESA account (Cap at __ /SSN) |
▪ | __ /transfer to successor trustee |
▪ | __/participant distribution (Excluding SWPs) |
▪ | __ /refund of excess contribution |
▪ | __ /reconversion/recharacterization |
▪ | __ /outgoing wire transfer or overnight delivery |
▪ | __ /telephone exchange |
▪ | __ /return check or ACH or stop payment |
▪ | __ /research request per account (Cap at $25.00 /request) (This fee applies to requests for statements older than the prior year) |
▪ | __setup/fund group |
▪ | __/certificate transaction |
▪ | Implementation (one time charge) & Recurring Charges (monthly) |
• | 5 Users - __ |
• | 10 Users -__ |
• | 20 Users - __ |
• | 30 Users -__ |
• | 40 Users - __ |
• | 50 Users - __ |
▪ | Training |
• | WebEx -__ /user |
• | On Site at USBFS - __/day |
• | At Client Location -__/day plus travel and out-of-pocket expenses if required |
▪ | Real Time Data Feeds |
• | Implementation (per feed) - __ /hour (8 hour estimate) |
• | Recurring (per feed) - __ /month |
▪ | Subsequent CUSIP Setup - __0 /CUSIP |