Fund Codes & Compensation

Transcription

1 Fund Codes & Compensation TD Mutual Funds Advisor, Premium & T-Series Codes Fee Based Codes Trailer % Money Market TD Canadian Money Market Fund TD Premium Money Market Fund 623 TD U.S. Money Market Fund (US$) Fixed Income TD Income Advantage Portfolio TD Income Advantage Portfolio - T, S, K & PS TD Ultra Short Term Bond Fund TD Short Term Bond Fund TD Canadian Bond Fund TD Canadian Core Plus Bond Fund TD Canadian Corporate Bond Fund TD Corporate Bond Plus Fund TD U.S. Corporate Bond Fund (US$) TD Real Return Bond Fund TD Global Bond Fund TD High Yield Bond Fund TD High Yield Bond Fund - T&S TD Canadian Bond Index Fund 436 Target Return TD Target Return Conservative Fund TD Target Return Balanced Fund TD Retirement Portfolios TD US$ Retirement Portfolio TD US$ Retirement Portfolio - T, S, K & PS TD Retirement Conservative Portfolio TD Retirement Conservative Portfolio - T, S, K & PS TD Retirement Balanced Portfolio TD Retirement Balanced Portfolio - T, S, K & PS Balanced TD Monthly Income Fund TD Monthly Income Fund - T & S TD Tactical Monthly Income Fund TD Tactical Monthly Income Fund - T, S, K & PS TD U.S. Monthly Income Fund - C$ TD U.S. Monthly Income Fund - C$ - T & S TD U.S. Monthly Income Fund (US$) TD U.S. Monthly Income Fund (US$) - T, S, K & PS TD Balanced Income Fund TD Diversified Monthly Income Fund TD Diversified Monthly Income Fund - T & S TD Strategic Yield Fund TD Strategic Yield Fund - T & S TD Balanced Growth Fund TD Dividend Income Fund TD Dividend Income Fund - T & S ISC - Initial Sales Charge DSC - Deferred Sales Charge LSC - Low Sales Charge LSC2 - Low Sales Charge II (1216) For Advisor Use Only

2 Fund Codes & Compensation TD Mutual Funds Advisor, Premium & T-Series Codes Fee Based Codes Trailer % Canadian Equity TD Canadian Low Volatility Fund TD Canadian Low Volatility Fund - T & S TD Dividend Growth Fund TD Dividend Growth Fund - T & S TD Canadian Equity Fund TD Canadian Value Fund TD Canadian Small-Cap Equity Fund TD Canadian Index Fund 437 U.S. Equity TD U.S. Risk Managed Equity Fund TD U.S. Risk Managed Equity Fund - T & S TD U.S. Risk Managed Equity Fund (US$) TD U.S. Low Volatility Fund TD U.S. Low Volatility Fund - T & S TD U.S. Low Volatility Fund (US$) TD U.S. Low Volatility C.N.* Fund TD U.S. Low Volatility C.N.* Fund - T & S TD North American Dividend Fund TD North American Dividend Fund - T & S Epoch U.S. Shareholder Yield Fund Epoch U.S. Shareholder Yield Fund - T & S Epoch U.S. Shareholder Yield Fund (US$) TD U.S. Blue Chip Equity Fund TD U.S. Blue Chip Equity Fund (US$) 3172 TD U.S. Quantitative Equity Fund 3173 Epoch U.S. Large-Cap Value Fund Epoch U.S. Large-Cap Value Fund (US$) TD U.S. Equity Portfolio TD U.S. Mid-Cap Growth Fund TD U.S. Mid-Cap Growth Fund (US$) TD U.S. Small-Cap Equity Fund TD U.S. Index Fund 439 TD U.S. Index C.N.* Fund 440 TD Dow Jones Industrial Average SM Index Fund 438 TD Nasdaq Index Fund 441 Global Equity TD Global Risk Managed Equity Fund TD Global Risk Managed Equity Fund - T & S TD Global Low Volatility Fund TD Global Low Volatility Fund - T & S Epoch Global Shareholder Yield Fund Epoch Global Shareholder Yield Fund - T & S Epoch Global Shareholder Yield C.N.* Fund Epoch Global Shareholder Yield C.N. *Fund - T & S Epoch Global Equity Fund Epoch International Equity Fund TD International Growth Fund Epoch European Equity Fund TD Emerging Markets Low Volatility Fund TD Emerging Markets Low Volatility Fund - T & S * C.N. refers to Currency Neutral For Advisor Use Only

3 TD Mutual Funds Advisor, Premium & T-Series Codes Fee Based Codes Trailer % Global Equity TD Emerging Markets Fund TD Asian Growth Fund TD International Index Fund 443 TD International Index C.N.* Fund 444 TD European Index Fund 442 Sector TD Resource Fund TD Precious Metals Fund TD Health Sciences Fund TD Entertainment & Communications Fund TD Science & Technology Fund Corporate Class TD Short Term Investment Class TD Tactical Monthly Income Class TD Dividend Income Class TD Canadian Low Volatility Class TD Dividend Growth Class TD Canadian Equity Class TD Canadian Value Class TD Canadian Small-Cap Equity Class TD U.S. Risk Managed Equity Class Epoch U.S. Large-Cap Value Class TD U.S. Mid-Cap Growth Class TD Global Risk Managed Equity Class TD Global Low Volatility Class Epoch Global Equity Class TD International Growth Class TD Asian Growth Class TD Emerging Markets Class TD Advantage Investment Portfolios TD Advantage Balanced Income TD Advantage Balanced Income - T & S TD Advantage Balanced TD Advantage Balanced - T & S TD Advantage Balanced Growth TD Advantage Balanced Growth - T & S TD Advantage Growth TD Advantage Aggressive Growth TD Mutual Funds TD Managed Portfolios * C.N. refers to Currency Neutral Advisor & T-Series Codes Fee Based Codes Trailer % TD Managed Income TD Managed Income - T, S & K TD Managed Income & Moderate Growth TD Managed Income & Moderate Growth - T, S & K TD Managed Balanced Growth TD Managed Balanced Growth - T, S & K TD Managed Aggressive Growth TD Managed Maximum Equity Growth

4 TD Mutual Funds TD FundSmart Managed Portfolios Advisor & T-Series Codes P & K Series Trailer % ISC DSC LSC LSC2 P K ISC DSC LSC LSC2 1 P K TD FundSmart Managed Income & Moderate Growth TD FundSmart Managed Inc & Mod Growth - T TD FundSmart Managed Balanced Growth TD FundSmart Managed Balanced Growth - T TD FundSmart Managed Aggressive Growth Sales Commission ISC DSC LSC LSC2 Up to 5% 5.0% 1.0% 3.0% Redemption Schedules Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 DSC 5.5% 5.0% 4.5% 4.0% 3.0% 1.5% LSC 2.0% 2.0% LSC2 3.5% 3.0% 2.0% 1.0% Fund / Portfolio Minimums Minimum Initial Investment Minimum Additional Investment Funds/Portfolios/Series Advisor Series $500 $100 F-Series $500 $100 T & S-Series $5,000 $100 Premium, K, Premium F & PS-Series $100,000 $100 TD Retirement Portfolios - Premium, K, Premium F & PS-Series $150,000 $100 TD Managed Assets Program - Advisor & F-Series $2,000 $100 TD Managed Assets Program - Premium & K-Series $150,000 $100 Portfolios - Advisor Series 2 $2,000 $100 Portfolios - F-Series 2 $5,000 $100 Pre-Authorized Contribution Plan ( PAC ) Minimums Minimum PAC Investment Minimum Initial Investment Funds/Portfolios/Series Advisor Series $25 N/A F-Series $25 $500 T & S-Series $25 $5,000 Premium, K, Premium F & PS-Series $100 $100,000 TD Retirement Portfolios - Premium, K, Premium F & PS-Series $100 $150,000 TD Managed Assets Program - Advisor & F-Series $25 $2,000 TD Managed Assets Program - Premium & K-Series $100 $150,000 Portfolios - Advisor Series 2 $25 $2,000 Portfolios - F-Series 2 $25 $5,000 Systematic Withdrawal Plan ( SWP ) Minimums Minimum SWP Redemption Minimum Starting Balance Minimum Account Balance Funds/Portfolios/Series Advisor Series $100 $10,000 $1,000 F-Series $100 $10,000 $1,000 T & S-Series $100 $10,000 $5,000 Premium, K, Premium F & PS-Series $100 $200,000 $100,000 TD Retirement Portfolios - Premium, K, Premium F & PS-Series $100 $250,000 $150,000 TD Managed Assets Program - Advisor & F-Series $100 $10,000 $2,000 TD Managed Assets Program - Premium & K-Series $100 $250,000 $150,000 Portfolios - Advisor Series 2 $100 $10,000 $2,000 Portfolios - F-Series 2 $100 $10,000 $1,000

5 Corporate Class Advisor Series F-Series Premium Series Premium F-Series T-Series S-Series K-Series PS-Series Investor Series Front-end load (ISC) Back-end load option (DSC) Low-load option (LSC) Low-load-2 option (LSC2) Short Term Trading Fee (STF) Corporate class mutual funds are structured as a mutual fund corporation. Each fund is offered as a different class of shares in the corporation. For clients seeking investment advice and purchasing under a front-end load, back-end load or low-load option. For clients participating in programs that usually do not require the payment of sales or redemption transaction charges by TD Asset Management Inc. (TDAM). Potential investors include clients of fee-for-service Financial Advisors, clients with dealer-sponsored wrap accounts and others who pay an annual fee to their dealer or Financial Advisor instead of transactional sales charges. For large investors and others who make the required minimum investment, as determined by TDAM from time to time. For large investors participating in programs that usually do not require the payment of sales or redemption transaction charges by investors or payment of service fees by TDAM and who meet the minimum investment requirement, as determined by TDAM from time to time. Potential investors include clients of fee-for-service Financial Advisors, client with dealer-sponsored wrap accounts, and others who pay an annual fee to their dealer instead of transactional sales charges. For clients who wish to receive a regular monthly cash flow from a Fund, while seeking investment advice and transacting under a front-end, back-end or low-load option. Distributions will consist of net income, net realized capital gains and/or a return of capital monthly. For clients who wish to receive a regular monthly cash flow from a Fund, while participating in programs that usually do not require the payment of sales or redemption transaction charges by investors, or payment of service fees by TDAM. Distributions will consist of net income, net realized capital gains and/or a return of capital monthly. Potential investors include clients of fee-for-service Financial Advisors, clients with dealer-sponsored wrap accounts, and others who pay an annual fee to their dealer or Financial Advisor instead of transactional sales charges. Large investors and others who make the required minimum investment, as determined by TDAM from time to time who wish to receive a regular monthly cash flow from a Fund. Distributions will consist of net income, net realized capital gains and/or a return of capital monthly. Large investors who wish to receive a regular monthly cash flow from a Fund, while participating in programs that usually do not require the payment of sales or redemption transaction charges by investors or payment of service fees by TDAM and who meet the minimum investment requirement, as determined by TDAM from time to time. Monthly distributions may consist of net income, net realized capital gains and/or a return of capital. Potential investors include clients of fee-for-service Financial Advisors, clients with dealer-sponsored wrap accounts, and others who pay an annual fee to their dealer instead of transactional sales charges. For clients investing on a no-load basis. Under a front-end load option, the client pays a sales commission, which is negotiated with their Financial Advisor when they purchase units of the Funds. Under a back-end load option, the client does not pay a sales commission but they may be charged a redemption fee if they redeem their units within six years of purchasing them. The dealer receives a commission (currently 5%) from TDAM when the units are purchased. Under a low-load option, the client does not pay a sales commission but they may be charged a redemption fee if they redeem their units within two years of purchasing them. The dealer receives a commission (currently 1%) from TDAM when the units are purchased. Under a low-load-2 option, the client does not pay a sales commission but they may be charged a redemption fee if they redeem their units within four years of purchasing them. The dealer receives a commission (currently 3%) from TDAM when the units are purchased. Once securities acquired under this purchase option are held for periods greater than 4 years, the maximum annual trail commission rate that can be paid to the dealer may automatically increase to the maximum annual trail commission rate payable under the front-end load option for the same fund. Clients may be charged a short-term trading fee of up to 2% of the acquisition cost of the Securities of a Fund they acquired if they switch or redeem within the relevant minimum holding period. There is no minimum holding period for the Money Market Funds and TD Short Term Investment Class. The minimum holding period is 30 days for the Index Funds and 7 days for all other Funds.

6 To find out more, call your Regional Sales Team, or Dealer Services at You can also visit us at tdadvisor.com or us at 1 Once securities acquired under this purchase option are held for periods greater than 4 years, the maximum annual trail commission rate that can be paid to the dealer may automatically increase to the maximum annual trail commission rate payable under the front-end load option of the same fund. 2 Portfolios Include TD Income Advantage Portfolio, TD U.S. Equity Portfolio, and the TD Advantage Investment Portfolios. 3 On September 1, 2016, TD Corporate Bond Capital Yield Fund was renamed TD Corporate Bond Plus Fund. 4 Effective at end of business on November 21, 2016 the fund series was closed to purchases and will be subsequently terminated on or about March 28, Effective on or about March 28, 2017 the fund series will be closed to all purchases. 6 Effective on or about March 28, 2017 the fund series will be closed to purchases by new investors. 7 Effective on or about March 28, 2017 unitholders of the fund series will be converted on a dollar for dollar basis to another series of the same fund which will have the exact same fees and features. 8 Effective April 1, TD Mutual Funds and the TD Managed Assets Program portfolios are managed by TD Asset Management Inc., a wholly-owned subsidiary of The Toronto-Dominion Bank and are available through authorized dealers. TD Mutual Funds Corporate Class are issued by TD Mutual Funds Corporate Class Ltd. Epoch Investment Partners, Inc. is a wholly-owned subsidiary of The Toronto-Dominion Bank and an affiliate of TD Asset Management Inc. All trademarks are the property of their respective owners. The TD logo and other trade-marks are the property of The Toronto-Dominion Bank. (1216) For Advisor Use Only