Kleinbart - Learning and Development Solutions

Try a KLDS E-learning course

Transfer Agency ( Shareholder Services )


The transfer agency function is a vital component of the investment fund industry, because it is the interface between a fund and its investors. It is also the official record-keeping function of shareholder positions. This course describes the many facets of the transfer agency function in detail.

Course Content

  • The transfer agency function and its importance
  • Activities belonging to the transfer agency function
  • Services provided to fund managers
  • Account opening and management (“Know your customer”)
  • Prevention of money laundering and terrorist financing in the transfer agency
  • Fund distribution
  • Order processing
  • Types of fund orders
  • Settling fund orders
  • Fees and commissions
  • Corporate actions for funds
  • Shareholder communication and fulfilment


2 days for up to 12 participants (a 1-day version is also available) Target Audience People working or planning to work in the fund industry who want to understand transfer agency.