The Transfer Agency Agreement is a crucial document used when a fund or company needs to appoint a professional service provider to manage its shareholder registry and related services in Hong Kong. This agreement is essential for investment funds, unit trusts, and companies requiring specialized services for processing subscriptions, redemptions, transfers, and maintaining accurate shareholder records. The document must comply with Hong Kong's regulatory framework, including the Securities and Futures Ordinance, Companies Ordinance, and relevant SFC regulations. It typically includes detailed service descriptions, operational procedures, compliance requirements, and fee arrangements, forming the contractual foundation for this critical financial service relationship.
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1. Parties: Identification of the principal (fund/company) and the transfer agent
2. Background: Context of the agreement and brief description of the parties' intentions
3. Definitions: Definitions of key terms used throughout the agreement
4. Appointment and Authority: Formal appointment of the transfer agent and scope of authority
5. Services: Core transfer agency services including maintaining shareholder register, processing transfers, and distributions
6. Duties and Responsibilities: Detailed obligations of the transfer agent
7. Instructions and Communications: Procedures for giving and receiving instructions between parties
8. Anti-Money Laundering Compliance: AML/KYC obligations and procedures
9. Fees and Expenses: Compensation structure and payment terms
10. Standard of Care: Expected service standards and performance metrics
11. Confidentiality: Protection and handling of confidential information
12. Data Protection: Compliance with privacy laws and data protection measures
13. Record Keeping: Requirements for maintaining records and documentation
14. Liability and Indemnification: Allocation of risks and indemnification provisions
15. Term and Termination: Duration of agreement and termination provisions
16. Force Majeure: Provisions for unforeseen circumstances
17. Governing Law and Jurisdiction: Applicable law and dispute resolution
18. General Provisions: Miscellaneous legal provisions including notices, amendments, and assignment
1. Sub-Contractors: Terms for engaging and managing sub-contractors, used when transfer agent may delegate certain functions
2. Disaster Recovery: Business continuity and disaster recovery procedures, important for larger operations
3. Additional Services: Terms for additional services beyond core transfer agency functions
4. Service Level Agreement: Detailed performance metrics and service levels, used in more sophisticated arrangements
5. Insurance: Specific insurance requirements, important for high-value services
6. Electronic Services: Provisions for electronic/online services, needed if platform access is provided
7. Tax Reporting: Special tax reporting obligations, required for certain fund types
8. Foreign Account Compliance: FATCA/CRS compliance, needed for international operations
1. Services Description: Detailed description of all transfer agency services to be provided
2. Fee Schedule: Comprehensive fee structure including all charges and payment terms
3. Service Levels: Detailed service standards and performance metrics
4. Operating Procedures: Day-to-day operational procedures and requirements
5. Form of Reports: Templates and formats for required reports
6. Authorized Persons: List of authorized signatories and their powers
7. Data Protection Requirements: Specific data protection and privacy compliance requirements
8. Business Continuity Plan: Overview of disaster recovery and business continuity procedures
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Management
Fund Administration
Asset Management
Securities Services
Banking
Trust Services
Corporate Services
Relevant Teams
Legal
Compliance
Operations
Fund Administration
Client Services
Risk Management
Investment Operations
Company Secretarial
Regulatory Affairs
Shareholder Services
Relevant Roles
Fund Manager
Compliance Officer
Legal Counsel
Operations Director
Transfer Agency Manager
Client Services Manager
Risk Manager
Relationship Manager
Fund Administrator
Company Secretary
Head of Operations
Chief Operating Officer
Regulatory Compliance Manager
Investment Operations Manager
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