Our full array of shareholder accounting and customer services enable you to foster a sound relationship between your fund and its shareholders.
As one of the largest transfer agents in the industry, providing services to over 200 diverse clients with more than 4 million shareholder accounts, our goal is to bring industry-leading customer service, robust core and peripheral technology, and solid, efficient yet flexible processes together to provide superior shareholder accounting and servicing to all fund structures and investment strategies. Since 2005, our transfer agent has provided unparalleled professional attention to our clients and their shareholders based on continuous improvement and consistent engagement in our ever-changing industry
As the first and only transfer agent in the industry to become ISO 9001:2008 certified, we integrate core processes with ISO principles to create a knowledge management system that is process-driven, quality oriented, and continuously improved. This translates to industry-exceeding accuracy, responsiveness, and the highest-quality deliverables to our clients and their shareholders.
We perform industry leading account services for our clients, including document imaging, check processing, shareholder correspondence, records retention, fraud detection and prevention, AML/CIP review, maintaining shareholder account information as well as resolving questionable shareholder trades. Our highly trained Retail Processing and Resolution teams enter new account information, process purchases, liquidations, exchanges, transfers, and perform maintenance updates to shareholder accounts. We also perform outbound telephone calls providing legal and administrative resources to proactively resolve non-compliant transaction requests.
We remove the operational burden of communicating with your shareholders by preparing written communications to shareholders, and are responsible for the analysis, preparation and imaging of all written requests we receive.
Our Transfer Agent Accounting Team diligently balances and reports all shareholder daily cash and share activity to fund accountants, portfolio managers, investment advisers, and custody groups. We ensure that all cash is properly credited to shareholder accounts by reviewing critical error reports and adjustments, and we monitor and enforce client gain/loss policies and assist with broker loss reclaims. Our accounting team also processes all incoming and outgoing federal wires, tracks receipt of redemption fees, processes check-writing drafts, and reconciles dividend, capital gain, and commission payments.
We also provide our clients with comprehensive, complete, and compliant regulatory reporting services, including mutual fund shareholder IRS tax form reporting, IRS regulatory filings, abandoned property reporting and mailings, as well as interpretation of IRS regulations impacting mutual fund transaction processing.
Our Financial Control department is responsible for the daily reconcilement of operating accounts, including shareholder deposits, redemptions, federal wires, ACH, unclaimed balances, commissions, and draft checks. Through our advanced technology resources, the team resolves any rejected or returned items and monitors all money movements made systematically or manually between the operating accounts and custody accounts. Financial Control performs the critical task of monitoring the timely resolution of open items to ensure minimal risk.
Our Quality Control group reviews direct shareholder transactions for accuracy and completeness and checks for compliance to SEC regulations and client-specific rules. This group is essential in preventing processing errors on shareholder accounts and transactions. Quality Control also reviews select adjustment transactions, shareholder calls, and all shareholder correspondence prior to mailing. Errors are analyzed to make processing or procedural changes to prevent similar errors in the future and further enhance the shareholder experience.
As your trusted liaison between banks, brokerage firms, and third-party administrators, our Financial Intermediary department provides a wide range of services and support to Registered Investment Advisers, supermarkets, broker-dealers, 401(k) administrators, insurance companies, banks, and trust companies.
Our comprehensive suite of services includes monitoring trading through the DTCCs automated services, including Fund/SERV, Networking, DCC&S, ToRA, Payment aXis, and ACATS
Our team of experts provides manual 401(k) trading, dealer agreement setup and maintenance, processing and ongoing review of share aging, payment of commissions, and billing of dealer loss reclaims. A specialized team focuses on servicing additional investment products such as closed-end mutual funds, exchange traded funds, and fund-of-funds processing. The Financial Intermediary team also supports all dealer and industry events including firm name changes, mergers and omnibus conversions.
Our Investor Services and Process Solutions department provides clients with industry-exceeding accuracy and responsiveness. We are committed to our clients’ shareholders and strive to provide exceptional investor services and process solutions throughout our transfer agent. These critical services include retail shareholder servicing, institutional shareholder servicing, contact center technology support, workforce management, call quality review, sales and compliance reporting, fulfillment, fund marketing, and ISO 9001:2008 certification support.
From fund and account inquiries and literature requests, to specialized transactions for institutional clients, our shareholder services teams utilizes state of the art technology to provide complete, accurate, and timely service to your investors.
We have a team in place to evaluate customer experiences, assist with more complex shareholder calls, and provide additional, targeted coaching to our contact center staff. When problems or questions concerning prior accounts or transactions arise, our trained personnel will quickly locate and provide the necessary documentation.