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(415) 340-6708

Transfer Agent and Trustee Services

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Account Management

  • Open, merge, manage, and close shareholder accounts
  • Process transfers of shares and generate reports as requested
  • Record all certificate transactions
  • Online access to Efficiency’s platform for each client
  • Address inquiries from shareholder reports, detailing names, addresses, account numbers, an share/warrant holdings
  • 24/7 support for shareholder inquiries

Security Issuance

  • Issue and register securities
  • Keep accurate records of outstanding securities
  • Assist in Deposit/Withdrawal At Custodian (DWAC’s) and original issuances
  • Establish book entry DRS positions and engage in the DRS profile system for broker ”sweeps” of registered positions
  • Coordinate with DTC/CEDE & CO.
  • Handle replacements for lost or stolen securities
  • Manage legal transfers and transactions

Regulatory Compliance

  • Provide audit confirmations to the company’s auditors
  • Submit escheatment reports to state agencies
  • Conduct OFAC searches
  • Assist in any SEC-required requests

Proxy Services

  • Distribute proxy materials to shareholders
  • Handle proxy votes for both routine and non-routine meetingss
  • Prepare and send daily proxy tabulation reports to the company

Paying Agent Services

  • Guarantee to deliver timely and accurate payments and distributions to shareholders through Efficiency’s platform
  • Perform paying agent services for non-client corporate actions

Dividend Reinvestment Services

  • Create tailored and cost-effective DROP and DSPP plans for your company and shareholders
  • Provide periodic account statements