NICSA Transfer Agent Compliance Guide
Click the link below to access the online Transfer Agent Compliance Guide (subscription required):
Our most popular resource, the Transfer Agent Compliance Guide, is now available online! Reasonably-priced site licensing is available to firms, enabling an individual or an entire compliance department to access the NICSA Transfer Agent Compliance Guide right from the NICSA website.
The newly updated 2013 guide features an expanded privacy and data protection section, featuring detailed information on:
New hyperlink functionality has also been added to the newly updated online guide linking readers to the text of laws, regulations and other supporting material. Revised citations have already been updated for the following sections:
This comprehensive reference guide should be on the bookshelf of every Transfer Agentís Compliance Department.
The Online Edition of the NICSA Transfer Agent Compliance Guide is available through annual site licensing exclusively to NICSA member organizations. License pricing is based on the size/membership level of your firm.To order or for additional information please call NICSA at 508.485.1500 or email email@example.com.
|Membership Category||Annual Subscription|
|Global Leader Firms||$1,299|
|Level 1 | Asset Manager or Service Provider||$1,299|
|Level 2 | Asset Manager or Service Provider||$799|
|Level 3 | Asset Manager or Service Provider||$499|
|Boutique | Asset Manager or Service Provider||$275|
The print edition of the 2013 NICSA Transfer Agent Compliance Guide will be available in early fall of this year at the following rates:
|Membership Status||Per-Copy Price|
This will be the last print edition of the NICSA TA Compliance Guide. Beginning in 2014, it will be available in the electronic version ONLY.
Please note: Member pricing is available exclusively for members in good standing. To check on your membership status, please contact NICSA at firstname.lastname@example.org.
|1.0||Transfer Agent Registration Requirements|
|3.0||Annual Study and Evaluation of Internal Accounting Control|
|6.0||Privacy and Data Protection|
|7.0||Money Laundering and Fraud|
|8.0||Sarbanes-Oxley Act of 2002|
|9.0||Compliance Program Policies and Procedures|
|11.0||Pay to Play|
|B.||Transfer Agent Transaction Processing|
|2.0||Pricing of Transactions|
|3.0||Maintenance of Accurate Security Holder Files|
|4.0||Redemptions and Transfers|
|5.0||Confirmations and Mailings|
|6.0||Written Inquiries and Requests|
|9.0||Signature Guarantees / Electronic Signatures|
|10.0||Locating Lost Shareholders|
|1.0||Federal Tax Withholding|
|2.0||Taxpayer Identification Number ("TIN") Compliance|
|3.0||Information Reporting / Tax Returns / Cost Basis Reporting|
|D.||Individual Retirement Accounts|
|1.0||Traditional IRA Distributions, RMDs and Excess Contributions|
|2.0||Transfer of Assets and Rollovers|
|6.0||Coverdell Education Savings Account (CESA)|
Formerly Education IRAs
| Appendix A. Retention Requirements|