NICSA Transfer Agent Compliance Guide

 

 

 

 

"The best single thing that NICSA produces"

-- NICSA Transfer Agent Compliance Guide user

 

 

 

 

 

The NICSA Transfer Agent Compliance Guide is the definitive resource for operations professionals. The Guide provides an introduction to the many and varied rules affecting transfer agent operations in a format that makes them easy to look up and using language that makes them easy to understand.

 

In a recent survey, usUsers weighed in on the value of the Guide. They rated the Guide highly on the following attributes:

  • Explains regulations in language that I understand
  • Makes it easy to find relevant laws and regulations
  • Provides insight on the practical application of the rules
  • Discusses only the rules that are relevant to me
  • Helps me have a more productive conversation with the law department

 

Access to the NICSA Transfer Agent Compliance Guide is a member benefit and is FREE to NICSA members. To access, log into the member portal by clicking on "Sign in."

  • NICSA Member Portal Login
Click below to sign into the NICSA member portal.

» Sign in


Don't have an account? Click Here...

Follow Us

Upcoming Events



  • NICSA Webinar: Data Analytics 201: Adding Value with Modeling Techniques
    October 18 | 2:00pm - 3:00pm

    Learn more and register...


  • NICSA Webinar: Finding the Right Fit: How to Leverage Alternative Portfolio Structures
    October 25 | 2:00pm - 3:00pm

    Learn more and register...
  • NICSA 2018 Strategic Leadership Forum (SLF)
    (36th Annual Conference)
    February 28 - March 2, 2018 | Miami, FL


    Learn more...
  • NICSA 2018 General Membership Meeting (GMM)
    October 10-11, 2018 | Boston, MA


  • NICSA 2019 Strategic Leadership Forum (SLF)
    (37th Annual Conference)
    February 27 - March 1, 2019 | Ponte Vedra Beach, FL


  • NICSA 2019 General Membership Meeting (GMM)
    October 16-17, 2019 | Boston, MA


  • NICSA 2020 Strategic Leadership Forum (SLF)
    (38th Annual Conference)
    February 26 - 28, 2020 | Ft. Lauderdale, FL