Transfer Agent Case Study :
Helping a transfer agent meet sec deadlines
The problem:
A major transfer agent had a file with thousands of lost accounts in jeopardy of breaching the SEC mandated time constraints for new address searches. Read the case study
Bank Case Study :
Keeping assets on the books for a major retail bank.
The problem:
A major bank had been escheating large numbers of lost/dormant accounts to the states. Read the case study
mutual fund Case Study :
Improving reporting and compliance for a mutual fund.
The problem:
A mutual fund run by a major investment-banking firm needed more frequent and detailed reporting on lost and dormant accounts. Read the case study
corporate stock & bond issuers Case Study :
Eliminating a shareholder relations concern for a Fortune 1000 client.
The problem:
A major financial company was escheating large numbers of lost and dormant deceased accounts to the states. These accounts were not subject to SEC requirements so the corporation was within its legal rights. However, in some cases, asset owners had lost the potential for significant appreciation due to escheatment. Some heirs had already complained, and the potential for a larger problem in the future was apparent. Read the case study
