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TA Guide

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The industry’s only one-stop resource for transfer agent rules and standards.

About the Guide
The Nicsa Transfer Agent Compliance Guide is a comprehensive resource developed to support professionals across the asset and wealth management industry, offering a centralized reference for the laws, regulations, and operational standards governing transfer agent activities.

This guide is tailored for:

  • Compliance and legal professionals
  • Transfer agent operations teams
  • Regulatory affairs specialists
  • Service providers supporting mutual fund and transfer agent functions

Transfer Agent Compliance Guide

The definitive compliance framework for transfer agent professionals serving the asset and wealth management industry.
Access the Guide

Members: Access free of charge.
Non Members: Download available for purchase.

Note that users will need to log in or create an account in order to access or purchase.
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