US Transfer Agency Services

US Transfer Agency Services

Apex is an SEC registered full service transfer agent with over thirty years of experience servicing mutual funds.  Our advanced transfer agency platform integrates FIS core recordkeeping, workflow and imaging, and cash management systems with experienced professionals to provide clients advanced transfer agency services with real-time entry and access to data.

Account Services include:

  • Set-up and maintain institutional, retail and retirement accounts
  • Process transactions and distributions, including automatic investment and systematic withdrawal plans
  • Respond and manage shareholder telephone, mail and e-mail inquiries and correspondence
  • Provide daily shareholder cash management
  • Support lost shareholder recovery and escheatment
  • Prepare and deliver account confirmations and statements (mail and on-line)
  • Support NSCC processing and provide dealer services

Fund Services include:

  • Provide capital stock and custody notification reporting
  • Establish and reconcile demand deposit accounts
  • Calculate and report Rule 12b-1, commission and other intermediary payments
  • Provide literature fulfillment services
  • Develop, implement and  monitor file interfaces with intermediaries
  • Provide privacy, AML and Rule 22c-2 compliance services
  • Report on Blue Sky state sales
  • Provide document imaging and workflow management

Tax Services include:

  • Produce, file and distribute tax information to shareholders, the IRS and states
  • Maintain and report shareholder cost basis

Online Services include:

  • Private label shareholder online services:  account set up, maintenance, process transactions and access  statements and fund  materials
  • Clients and intermediary online access to shareholder account and transaction data

Apex has successfully completed an independent SOC 1 audit of its transfer agency services.