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Taking Stock Episode 40 - Regulation in the Transfer Agent Sector
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This week Chives focuses on regulation in the Transfer Agent space, and we'll touch not only on recent SEC action against TA but on the broader regime, and how we've seen a variety of consolidation in the market sector.
Chives was joined by John Wooten who has a unique and valuable perspective as someone who founded his own Transfer Agent and has been through the approval process with the SEC, and we can hear from him about how the decision to regulate TAs in this way has downstream effects on not only custody and investor safety but on the market itself.
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Links and Resources:
SEC Charges Equiniti Trust Co.
https://www.sec.gov/newsroom/press-releases/2024-101
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Transfer Agent Market Share as of 2022
https://www.ideagen.com/thought-leadership/blog/transfer-agent-market-share-2022
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Equiniti and AST Merger After Being Bought by Siris Capital Group
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Computershare's Aquisition of BNY Canada
https://www.computershare.com/us/news/computershare-to-buy-bny-trust-company-of-canada
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