Roles & Responsibilities
Who is assigned by a corporation for the purposes of maintaining a shareowner's financial records and account details?
Transfer Agent
When receiving a request in writing, we must have this on the form or letter of instruction?
Signature(s)
What does KnowledgeBase default to within the Fund Sponsor drop-down menu?
Transfer Agency Manual
What registration code series is used for Non-Custodial held accounts?
000 Series
Who can be appointed to act on a person or entity's behalf?
Fiduciary (Power of Attorney, Parent/Guardian, Trustee, Authorized Trader, etc.)
SS&C provides services as a part of our contractual agreement we have with whom?
Fund Sponsor
A signature validation verifies that who has the capacity to take the actions requested by the document?
Signer
What always needs to be checked when looking at any document to ensure it pertains to what you need?
Fund Sponsor
Who does the tax reporting on a non-custodial held account?
SS&C
What is received to make something no longer be "not in good order"?
Financial Advisor / Registered Investment Advisor (RIA)
An MSG is used for Financial Transactions, so what is used for Non-Financial Transactions?
Signature Validation Program (SVP)
What needs to be selected for important documents that may need to be easily referenced later?
Subscribe
If the individual account owner passes away, what type of account is it transferred to?
Estate
We would require only this signature when changing broker/dealer & financial representative information on a Custodial held account?
Custodian
Who is responsible for handling standard processing of basic transactions?
Operations Processing Team
What is the person referred to that is transferring their shares over to another person/entity?
Transferor
You should review this KB article to gain a better understanding of the Fund Sponsor you are working on.
DOC10064 - Quick Reference Guide
Who is responsible for the tax reporting on a 500 series account?
SS&C
Where do we look to find if there is a Trust ID on the account?
Financial Institute / Trust drop-down
What is required based on regulatory changes due to the stock market crash of 1929?
Custodian / Custodial Bank
What is the indicator called that correlates to the amount that the MSG will cover for a transaction?
Alpha Prefix
What can be used to provide helpful information to it's investors that comes directly from the Fund Sponsor?
Fund Sponsor's Website
Provide the 2 types of accounts that we (SS&C) will keep the beneficiary information on.
Non-Custodial Transfer on Death (TOD) & FTR held accounts
Where can dividends be sent on a non-custodial held account?
Reinvest, Cash to AOR, Cash to Bank, or Cash to Third Party