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Taking Stock Episode 41 - Regulation in the Transfer Agent Sector
Manage episode 435566450 series 3509665
Nội dung được cung cấp bởi Taking Stock. Tất cả nội dung podcast bao gồm các tập, đồ họa và mô tả podcast đều được Taking Stock hoặc đối tác nền tảng podcast của họ tải lên và cung cấp trực tiếp. Nếu bạn cho rằng ai đó đang sử dụng tác phẩm có bản quyền của bạn mà không có sự cho phép của bạn, bạn có thể làm theo quy trình được nêu ở đây https://vi.player.fm/legal.
This week Chives focuses on regulation in the Transfer Agent space, and we'll touch not only on recent SEC action against TA but on the broader regime, and how we've seen a variety of consolidation in the market sector.
Chives was joined by John Wooten who has a unique and valuable perspective as someone who founded his own Transfer Agent and has been through the approval process with the SEC, and we can hear from him about how the decision to regulate TAs in this way has downstream effects on not only custody and investor safety but on the market itself.
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Twitter/X Link:
https://x.com/i/spaces/1lDxLlbpeoqxm
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Join the Community:
Join us on Discord - https://mee6.xyz/en/i/vYJSX1ghMl
Join us on Lemmy - https://lemmy.whynotdrs.org/
Visit https://www.drsgme.org and https://www.whydrs.org
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Links and Resources:
SEC Charges Equiniti Trust Co.
https://www.sec.gov/newsroom/press-releases/2024-101
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Transfer Agent Market Share as of 2022
https://www.ideagen.com/thought-leadership/blog/transfer-agent-market-share-2022
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Equiniti and AST Merger After Being Bought by Siris Capital Group
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Computershare's Aquisition of BNY Canada
https://www.computershare.com/us/news/computershare-to-buy-bny-trust-company-of-canada
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Special Thanks to:
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