The Role and Responsibilities of a Mutual Fund Transfer Agent

Overview     Instructor     Syllabus

1: Introduction to Course     Overview     Course Navigation     Resources     Summary 2: The Role of a Transfer Agent     Objectives     Role of a Transfer Agent     Regulators     Rule 38a-1     Transfer Agent Models 3: Securities Exchange Act of 1934     Objectives     Securities Exchange Act of 1934     Share Certificates     Security     Annual Audit     Lost Shareholders 4: Purchases, Redemptions, and As-Of Transactions     Objectives     Financial Transactions     Forward Pricing     Good Order     How Investors Pay for Mutual Funds     Processing Redemptions     Confirmation Statements     As-Of Transactions 5: Signature Guarantees     Objectives     What is a Signature Guarantee?     When Signature Guarantees Are Required     Signature Guarantee Program     Signature Validation Programs (SVP)     Rejected Transfers Exam 1     Introduction 6: Exchanges, Account Transfers, and Maintenance Activities     Objectives     Fund Exchanges     Account Transfers     Maintenance Activities 7: Mutual Fund Processing     Objectives     Processing     Quality Assurance     Nightly Processing     Automated Workflow     Financial Accuracy     Custodians 8: Key NSCC Programs for Mutual Funds     Objectives     Fund/SERV     Networking     Matrix Levels 9: Retail Account Registrations     Objectives     Introduction     Individual, JT TEN, TEN ENT     Transfer on Death     Community Property and TEN COMM     UTMA and 529 Accounts 10: Institutional Accounts     Objectives     Institutional Accounts     Accounts Established by Organizations and Trusts     Nominees and Omnibus Accounts     Retirement Plan Accounts and TPAs Exam 2     Introduction 11: Anti-Money Laundering Program Fundamentals     Objectives     Money Laundering     AML Program Requirements     Customer Identification Programs     Suspicious Activity Reports 12: Communications and Service     Objectives     Communications     Self Servicing     Electronic Delivery     Householding     Quality-Assurance Measures     Consumer Financial Privacy 13: Tax Reporting and Mailings     Objectives     Tax Reporting     Tax-Related Mailings     Tax Identification Number     Backup Withholding Exam 3     Introduction Course Evaluation     Evaluation