Transparency and Transfer Agents

Transparency and Transfer Agents

Fund regimes require greater transparency and has raised the profile of transfer agents.

Author: AxiomHQ –


Prior to AIFMD and UCITS V, transfer agents were relatively unknown, however the need for greater transparency and trust has raised their profile.

Transfer agents play an important role in financial services.   They fulfil a number of functions such as maintaining and managing the following:

  • registers of shareholders for issuers
  • recordkeeping, reporting and communications
  • dividend payments
  • corporate actions
  • IPO services


In our latest blog, we consider the risks posed by transfer agents and how firms can improve oversight of these players.

To read the full article click here.

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