NICSA
Transfer Agent Compliance Guide
Newly revised for 2008 with up to the minute
information on:
-
529 Plans
-
Privacy
-
Lost Shareholders
|
-
ACH
-
Signature Guarantees
-
IRA’s
|
Plus everything you need to know about Tax, Administrative
Matters, Transfer Agent Transaction Processing and more!
A resource like no other in the industry, this comprehensive
reference guide should be on the bookshelf of every Transfer
Agent’s Compliance Department.
Follow the links below to order.
Outline
of Chapters
| A. |
Administrative
Matters |
|
1.0 |
Transfer Agent
Registration Requirements |
|
2.0 |
Fingerprinting |
|
3.0 |
Annual Study
and Evaluation of Internal Accounting Control |
|
4.0 |
Blue Sky |
|
5.0 |
Disaster Recovery |
|
6.0 |
Privacy |
|
7.0 |
Money Laundering
& Fraud |
|
8.0 |
Sarbanes Oxley
Act of 2002 |
|
9.0 |
Compliance Program
Policies and Procedures |
|
10.0 |
Rule 22c-2
|
| B. |
Transfer
Agent Transaction Processing |
|
1.0 |
Records Retention |
|
2.0 |
Pricing of Transactions |
|
3.0 |
Maintenance
of Accurate Security Holder Files |
|
4.0 |
Redemptions
and Transfers |
|
5.0 |
Confirmations
and Mailings |
|
6.0 |
Written Inquiries
and Requests |
|
7.0 |
Certificates |
|
8.0 |
Safeguarding
Assets |
|
9.0 |
Signature Guarantees
/ Electronic Signatures |
|
10.0 |
Locating Lost
Shareholders |
|
11.0 |
ACH Rules
|
| C. |
Taxes |
|
1.0 |
Federal Tax
Witholding |
|
2.0 |
Taxpayer Identification
Number ("TIN") Compliance
|
|
3.0 |
Information
Reporting / Tax Returns
|
| D. |
Individual
Retirement Accounts |
|
1.0 |
Traditional
IRA Distributions, RMDs and Excess Contributions |
|
2.0 |
Transfer of
Assets and Rollovers |
|
3.0 |
Roth IRAs |
|
4.0 |
SEPs |
|
5.0 |
SIMPLE IRAs |
|
6.0 |
Coverdell Education
Savings Account (CESA)
Formerly Education IRAs
|
| E. |
529
Plans |
|
1.0 |
529 Plans |
Ordering
Information
The 2008 Edition of the NICSA Transfer Agent
Compliance Guide is now available. Order
your copy today by following the links below. NICSA members
receive a special, members-only rate; if you're not sure if
your office is a member, contact NICSA at (508) 485-1500.
For orders within the United States, click
here to order.
For orders outside the U.S., click
here to order.
Corporate
Licenses
Corporate E-Licenses for intranet posting
of the NICSA Transfer Agent Compliance Guide are available
to members. Please contact Keith Dropkin at the NICSA office
at (508) 485-1500 x 114 for further details.
|
