Transfer Agency & Registration


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.


        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)


Single Pricing V Dual Pricing Overview
Impact On Dealing

-Compliance and Checks
-Cancellation Rights
-Client Money Issues
-IFA and Private Client Deals
-Regulatory Issues

Money Laundering Monitoring
SDRT (Uk Only)

-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
Distribution Process
Complaints Procedure
Breach Situations And Regulatory References

Todays Date:

Duration 1 day
Available as an in-house course

Investment Education PLC
45 Old Hall Road, Manchester M7 4JF, United Kingdom
Tel:+44 (0)161 832 3800
Registered in England Number 2129160
VAT Registered Number GB 480 2112 85

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