Transfer Agent Services

Regardless of the size of your agency (sole proprietorship, bank-registered, large professional, issuer or third-party administrator), Dunn Consulting and Training has the experience to assist you with your compliance needs.

 

During my 21 year tenure as an SEC regulator, I examined or inspected every type of transfer agent from one-person sole proprietorships to large corporate organizations and banks.  I am well attuned to the challenges and needs of each size agency.

 

Put my expertise to work for your benefit.  My goal is to ensure that your agency stays in compliance with the federal securities laws while simultaneously maintaining an efficiently functioning operation.

 

My transfer agent services include the following and can be expanded or tailored to your needs.

  • Compliance Reviews

– Transactions (turnaround)

– Record Keeping

– Balanced Positions

 

  • Mock Audits/Inspections/Examinations
  • Off-site Inspections of Co-transfer Agents or Service Company Transfer Agents
  • Written Procedures Review/Development
  • Filings Review

 – TA-1

– TA-2

– Notices required by Rules 17Ad-2; 17Ad-11; 17Ad-16; 17Ad-17; 17Ad-19

  • Out-of-Balance Resolution

– Provide research and expeditiously resolve out-of-balance conditions

 

  • New Business Establishment

– Provide advice on establishing a compliant and efficient transfer agency

– Provide new business support services as identified and needed

 

  • Litigation Support

– Assist with case and trial preparation, depositions, and testimony

– Provide expert witness testimony

If you would like more information about my services, please call (303) 476-0699 or complete the Contact page on this web site.