Nicsa | 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 transfer agent standard for our 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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