Transfer Agent, Registrar & Unit-holder Record-keeping

  System Environment
  • Maintain Investor Accounts
  • Systematic Transaction Settlement
  • Evening Batch Submission & Processing
  • Daily On-line Reports Output
  • Multi-Load: No Load, Front End, DSC, LSC
  • Multi-Series: Retail, Institutional, Fee Based, Tax Class
  • Multi-Channel Distribution: IIROC, MFDA, In-House, Offshore

  FundSERV Network Connection
  • Dealer Wire Order Transaction Processing
  • Electronic Dealer File Creation & Delivery
  • N$M Automated Settlement via (CAD) Large Value Transfer System (LVTS) and (USD) FedWire wire payments
  • Automated Non-Financial Updates (NFU)

  Account & Transaction Processing
  • Distributors: Client Name, Nominee, Intermediary
  • Account Types: Non-Registered, RSP, RIF, Spousal, Joint, Locked-In, Non-Resident
  • Transactions: Purchase, Redemption, Switch, Transfer, Commission Rebate, Management Fee Rebate, LSIF Rollover
  • Adjustments & Dealer Error Corrections
  • Client Paid Fees: DSC Recovery, Early Redemption Fee (ERF), Annual Account Administration Fee, RSP De-Registration & Non-Resident Withholding Tax deductions, LSIF Tax Credit Clawbacks
  • Systematic Plans: Pre-Authorized Purchase (PAC), Systematic Withdrawal Plan (SWP)
  • Fund NAV Upload or Input

  Advisor Compensation Processing & Payment
  • Client Paid ‘Front End’ Commission
  • Fund Paid ‘Back End’ Commission
  • Service “Trailer” Fees
  • Performance Fee Allocations
  • ‘Financier Account’ Administration

  Trust Accounting & Banking Services
  • Fund Trust Bank Account Reconciliation
  • Custodian Money Movements
  • Dealer & Investor Settlement Cheque Processing
  • LVTS (CAD) & FedWire (USD) Electronic Payments
  • Electronic Funds Transfer (EFT) via Canadian Payments Association (CPA) Network

  Income Distribution Processing
  • Frequencies: Monthly, Quarterly, Semi-Annual, Annual
  • Payment Types: Re-Investment of Units, In-Cash
  • Average Cost (ACB) & Book Value Adjustments: ROC, Notional, Re-Invest & Unit Consolidation

  Call Centre Services
  • In-Bound Calls: Dealer Head Offices, Advisors, Assistants, Investors
  • Basic ‘Account Inquiry’
  • Enhanced ‘Client Services’
  • Out-Bound Calls: Deficient Documentation Resolution

  Dealer Relations
  • Dealer Head Office Relationship Management
  • Contact Information & Preferences Database
  • Product & Process Notices Circulation

  Investor Communications
  • Statements of Account
  • Transaction Confirmations
  • Proxy Circulation & Response Tracking
  • Annual Reports
  • Material Change Notifications
  • Offering Document Fulfillment
  • Ad-Hoc Mailings

  Investor Income Tax Reporting
  • Production & Delivery of Slips & Receipts
  • Slip Types: RSP Contribution, T3/R16, T5/R3, NR4, T4RSP/RIF/R2, LSIF T5006/OIEO
  • Product Types: Mutual Fund Trust, Corporate Class, Limited Partnership, LSIF
  • Regulatory Electronic Filings: Canada Revenue Agency (CRA), Ministry of Finance (MoF) for Ontario & Quebec