Programme Overview
 
This is an e-learning programme. 
Upon successful registration and payment, you will be notified via email within 3 working days on your login ID, password and user instructions to access this programme. 
(The programme is valid for 6 months from the date of purchase.)
 
The purpose of this tutorial is to explore the different individual facets of shareholder servicing in order to provide a holistic breakdown of what is and is not involved in it.

Programme Objectives
 
On completion of this tutorial, you will be able to:

• Identify actions that fall under the remit of shareholder services
• Recognize transfer agency and the duties of transfer agents
• Recognize the function of the registrar
• Identify the differences between paying agents, calculation agents, and determination agents
• Identify depository receipt services

Programme Outline

Topic 1: Securities Registration

• Securities Registration
• Transfer Agency Services
• Transfer Agency Services: Custodians:
• Transfer Agent: Responsibilities
• Transfer Agent & Registrar
• Registered Securities
• Registered Securities: Maintaining Securities Registration
• Bearer Securities
• Nominee Registration
• Nominee Name vs. Beneficial Name
• Types of Nominee
• Immobilization of Securities
• Immobilization of Securities and the Function of Depositaries – Example
• Functions of Immobilization
• Dematerialization vs. Immobilization
• Registration Requirements

• Miscellaneous Services
• The Paying Agent
• Determination Agents & Calculation Agents
• Corporate Actions
• Depositary Receipts (DRs)
• Depositary Receipts (DRs): Arbitrage
• DRs: Conversion Process
• DRs: Transfer & Servicing
• Potential Concerns for Custodians

Intended For