Transfer Agency & Registration

Background

This course aims to give a comprehensive and practical review of the Transfer Agency and Registration operations. It is aimed at executives and staff working in the area who have had little or no training and need a complete overview. In addition, executives and staff working in functions that intersect with Transfer Agency and Registration will find this course useful. The course emphasis is on UK operations when provided in the UK and the local area when provided overseas.

Delegates

� OEICs, Unit Trust, SICAV etc administration staff

� Administration Managers of Mutual Funds

� Compliance Officers needing a practical understanding

� Internal and External Auditors

� ACDs, Custodians and Trustees

� IT Executives designing systems for Transfer Agency and Registration

� Lawyers (CPD Credit)

Content

Single Pricing V Dual Pricing Overview
Impact On Dealing
Dealing
-Compliance and Checks
-Cancellation Rights
-Client Money Issues
-IFA and Private Client Deals
-Regulatory Issues
Money Laundering Monitoring
SDRT (Uk Only)
Registration
-System Functionality
-Legal, Regulatory and Procesing Requirements
-Main And Sub Register Considerations
-Circumstances Or Documentation Involving Changes To The Register Such As Joint Holdings, Minors, Divorce, Death, Corporate Holdings, Garnishee, Overseas Holders Etc
Equalisation
Distribution Process
Complaints Procedure
Breach Situations And Regulatory References