Transfer Agency

Transfer Agency services have become increasingly important as investors seek greater visibility over their investment activities while fund managers also seek more real time updates on the investor activity and support for their global distribution plan. As the market continues to evolve with regard to distribution platforms, Straight Through Processing (STP) initiatives, new Anti-Money Laundering (AML) and tax regulations, having a strong Transfer Agency platform with a global reach has become more important than ever.

Key Service Features:

HSBC Securities Services offers a substantial Transfer Agency presence globally servicing traditional, alternative, private equity, Exchange Traded Funds (ETF) and local funds, in its Transfer Agency sites. As our clients' requirements expand geographically, they continue to benefit from our distribution focussed, innovative, global transfer agency platform, including multi-region, multi-currency and multi-lingual capabilities.

HSBC Securities Services focuses on technology, offering clients a friendly flexible service and a long term partnership approach. We continue to invest strategically in our platforms ensuring that short term market disruptions did not impact on our goals to provide our clients' with the best in class service through the smart use of technology.

With dedicated Transfer Agency trainers in each office, our people have constant access to ongoing development and cross training, which enhances their abilities and potential. We believe in investing significantly in people development and include opportunities for international secondments so that our people have access to best practice throughout the world.

Services Include:

• Distribution Support
• Investor transaction processing
• Maintenance of the shareholders register
• Reconciliation, FX and cash management
• Data management processes

A key part of our offering is shareholder and distributor servicing. We offer a full shareholder and distributor take on service and full end to end multi-lingual servicing once the shareholder is live on our platform. Furthermore, we provide full trail and commission support for our clients for both traditional and alternative funds.

With our focus on STP, we have automated the links with the fund accounting department for shareholder trading, NAV uploading and also with our bank for wire processing. This reduces risk and improves the turnaround times for clients, which is essential in this dynamic industry. Our core service teams are supported by specialist teams for the AML functions, platform development, IT, and projects.