A transfer agent may be a bank, a trust company, a stand-alone transfer agent provider or a team within a corporation or investment fund acting as the company’s own transfer agent. An in-house team may license a transfer agent system to increase their own efficiency without the licensor being the ‘transfer agent of record’. Many investment funds, however, employ a third-party transfer agent even if it is not required. Having a third-party ‘transfer agent of record’ satisfies the due diligence requirements of sophisticated and institutional investors.
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