eTransfer Agent Compliance Guide | Available now!


New for 2011, NICSA’s Transfer Agent Compliance Guide has gone virtual.  Reasonably priced site licensing is available to firms, enabling an individual or an entire compliance department to access the NICSA Transfer Agent Compliance Guide right from the NICSA website.

The 2011 Guide has been updated to reflect changes in regulations including:  AML for the travel rule, Blue Sky rules, privacy, Sarbanes-Oxley, SAS-70, lost/stolen/recovered certificate reporting, signature validation program requirements, suspension of redemptions rules and transfer rules.

To view the entire table of contents, and learn more about purchasing a license for your firm, visit:  www.nicsa.org/TAGuide.  Hard copies are still available for those wanting to keep a reference copy at the desk.



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