Transfer Agency (Shareholder Services)

Reference:

Technical training

Investment Funds

Webinar

Incompany

1 day

2 days

The transfer agency function is a vital component of the investment fund industry, because it is the interface between a fund and its investors. It is also the official record-keeping function of shareholder positions. This course describes the many facets of the transfer agency function. The course is very practical and includes numerous exercises.

Course Content

The transfer agency function and its importance
Activities belonging to the transfer agency function
Services provided to fund managers
Account opening and management ("Know your customer")
Prevention of money laundering and terrorist financing in the transfer agency
Fund distribution
Order processing systems
Types of fund orders
Settling fund orders
Fees and commissions
Corporate actions for funds
Shareholder communication and fulfillment
Managing risk in the transfer agency

Target Audience

People working or planning to work in the fund industry who want to understand transfer agency.