Transfer Agency Services

Relationships and efficient communication with investors are absolutely critical and we are passionate about supporting and enhancing those relationships for our clients. Investor services is an integral part of our Fund Solution. We follow a robust investor due diligence process to ensure that your fund and entity remains compliant with AML regulations in the relevant jurisdiction.

We know investors want transparency, and we facilitate that transparency to support your relationship by giving them access to our secure cloud-based portals, giving investors peace of mind through the ability to access their information anytime, anywhere and from any device.

Our connected technology solutions expedites and simplifies daily investment management tasks such as distributing secure notices, financial statements and investor reports accessed through secure cloud based investor portals. We offer dynamic reporting and data rooms for fund raising; ultimately, we help our clients improve the ability to be transparent with investors while simultaneously enhancing efficiencies.

Services Include

We provide transfer agency services to a wide variety of fund structures and asset classes. Our teams have in-depth understanding of the funds industry, local regulatory framework and tailor our transfer agency services to suit your operational needs.

 

  • AML screening to ensure investor compliance with money laundering regulations of the jurisdiction where the entity is domiciled and the applicable regulations of the contracted administrator.
  • Upfront & ongoing screening of investor and associated parties (UBO’s, Directors, trustees etc.).
  • Maintain investor registers, including all static data, such as ERISA status, new issue eligibility etc.
  • Generate and distribute investor statements and other fund information through a secure investor portal.
  • Generation of tailored investor reporting.
  • Receive, reconcile and process subscriptions, redemptions, transfers and switches, including facilitation of investor money movements.
  • Receive, calculate the allocations and process capital calls and distributions for the fund, including facilitation of investor money movements and capital call and distribution notices.
  • Capturing and tracking investor capital activity and maintaining partners’ capital accounts.
  • Maintenance of shareholder registers.
  • Distribution of investor communications as required.
  • 24/7 access to a secure web-based data room.
  • Setting up of bank accounts and maintenance.
  • Processing investor transfers.
  • Provision of daily shareholder cash management.
  • Set-up and maintain institutional and retail investors.
  • Provision of privacy, AML and Rule 22c-2 compliance services.
  • Support NSCC processing and provide dealer services.

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