Case Study in Transfer Agent Services – Private Investors in a Public Fund
Phoenix American's solution-based mindset and system flexibility provide the operational solutions that innovative investment fund sponsors want.
A transfer agent, by definition, is a neutral third-party entity that facilitates the transfer of a company’s securities from one investor to another. Because of the nature of their Securities and Exchange Commission registration, some corporations are compelled to hire a transfer agent. Others are not obligated to utilize a transfer agent, but choose to do so since they provide extra back-office services in addition to the transfer agent duty. The transfer agent is in a position to function as a company’s operational partner being intimately involved in the company’s investor data and interactions with the investors.