Nicsa Releases 2019 Reference Guide for Transfer Agent Compliance Standards

By Nicsa posted 04-09-2019 12:00 AM


Washington D.C. –April 9, 2019. NICSA announced today the release of the 2019 NICSA Transfer Agent Compliance Guide. The guide provides members of the global asset management industry with a onestop, comprehensive resource of current compliance updates and standards as they relate to the transfer agent function.

NICSA’s Transfer Agent Committee, which meets regularly to monitor and discuss trends in mutual fund transfer agent operations, compiled this centralized listing of laws, rules and regulations applicable to mutual fund transfer agents as a service to the transfer agency community. Reed Smith, a global law firm and a long-time NICSA member, vetted the citations identified by the Committee and authored Chapter introductions. The guide was produced by Donnelley Financial Solutions (DFIN), a leading global risk and compliance company and active NICSA member.

Jim Fitzpatrick, President of NICSA, stated, “NICSA’s mission is to provide a platform for industry participants to collaborate and advance best practices, and the NICSA Transfer Agent Compliance Guide is a great example of our mission statement in action. Serving as an educational resource, it leverages the depth of expertise within one of NICSA’s longest standing committees, the TA Committee. We’re very pleased to partner with Reed Smith LLP and DFIN – two thought leaders and highly regarded NICSA members – to provide this valuable benefit to our membership.”

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