Improving reporting and compliance for a mutual fund
Our search capabilities help to:
- Fulfill mandated SEC searches in compliance with SEC regulation 17AD-17 at no cost to shareholders or clients
- Find more lost shareholders by using robust databases
- 19 billion records
- Covers over 90% of the US population
- Includes all three major credit bureaus
- Prepare, deliver and archive TA2 summary reports, new address confirmation reports and other ad hoc reports
- Locate non-eligible SEC accounts through our proprietary Deep Search efforts (manually intensive research) to further reduce escheatable assets and reunite lost shareholders with their rightful property.
- Reduce administrative costs associated with lost accounts and escheatment
- Increase shareholder satisfaction and improve brand image
Escheat management services help to:
- Prepare abandoned property state reporting
- Scan lost shareholder files for escheat eligible accounts
- Mail due diligence notifications
- Update change of address files, RPOs and any other escheat-eligible profiles
- Provide preliminary escheat reports
- Verify status of unclaimed asset
- Deliver escheat reports
- Generate electronically-enhanced abandoned property state filings
- Deliver both state reports & negative reports to client
- Create mailing labels & remittance instructions
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