Stock Transfer Services for Trans Canada Transfer Inc.
• General
• Transfer Services
• Client Reports and analysis
• Mailing Services
• Shareholders Communication
• Administration of Initial Public Offering
• Warrants and Rights
• Escrow Agreement
• Shareholder Meeting and Proxy Services
• Treasury Directions
• Private Company Services
General
• Maintain full transfer facilities in Toronto
• Research and Development of systems and services legislative or industry changes throughout our membership with STAC (Securities Transfer Association of Canada)
• Liaise with lawyers, regulatory bodies, brokers, accountants on clients behalf
• Manage general inquiries from clients and financial community
• Maintain legal documents files reflecting changes in capital structure
• Control certificate inventory and storage
• Provide full storage of clients records
• Key systems and client data encrypted and stored offsite
Transfer Services
• New securities issuance – control and compliance with exchanges and regulators
• Validation of ownership and transfer of securities
• Maintenance of shareholder records and data
• Stock splits and stock dividends
• Securities safekeeping (escrow)
• Dividend disbursements (including preparing shareholder lists on the record date with relevant disbursement information, calculating and issuing stock dividends, issuing T5)
• Ordering and printing certificates and mailing certificates
• Replacing lost certificates by insurance bonds
TCTI maintain the shareholder lists, control the stated capital and effect transfers. We liaise with CDS Depository and Depository Trust Company (DTC – New Jersey), the broker community and investors to fulfill their requirements. Treasury directions are treated with all urgency demanded for regular issuances. We administer mandated escrow functions and process releases as dictated by the agreement. We act as an agent and provide registry services for Special Purpose Acquisition Company (SPAC) shares, warrants and rights offerings.
Client Reports and Analysis
• Auditor’s Confirmation request
• Detailed Journal Analysis of records
• Transaction Updates and queries
• Certified Shareholders List
• Update of New Shareholders records
• TSX Letter of Confirmation
• TSXV Letter of Confirmation
• Transfer Agent Verification Form
• Certificate Verification
Mailing Services
• Mailing of Shareholder letters – Meeting Planner
• Annual & Special Meeting notices
• Mail Annual Reports and any other significant shareholder information
• Financial statement mailings
Administration of Shareholder Communications
Requirements to communicate with both registered and non-registered shareholders of National Instrument Policy 54-101. Shareholder communication services includes :-
• Co-ordinating broker search and distribution of shareholder materials;
• Addressing and mailing proxy forms;
• Providing Scrutineers Service at shareholders’ annual or special meetings;
• Administering the mailing process through each stage;
• Receiving, verifying, and tabulating proxies returned physically;
• Providing updates on the voting results;
• Attending meetings to verify attendance and report on votes cast;
• Report of final meeting reports and proxy tabulations on attendance and voting.
Administration of Initial Public Offerings and New Issues
• Acting as a Subscription and Escrow Agent receiving funds in trust
• Issuance of security certificates from treasury to the subscribers
• Attending IPO Closings
Warrants & Rights
• Administration of warrants and rights issues to ensure that all aspects of trust indentures are for the benefit of the Issuer and warrant holder or rights holder
Escrow Agreements
• Acting as a third party under escrow and pooling arrangements governing important assets such as securities certificates
Shareholders Meetings and Proxy Service
• Assist with annual meeting of shareholders in Compliance with NI 54-101
Fix record date, mailing date and meeting date for annual and special meetings
Inform CDS of Notice of Meeting and Record Dates
• Mailing of all meeting materials and proxy
• Attend meeting to act as Scrutineer and report on attendance and provide final tabulations
Treasury Directions
• Preparation and submission of treasury directions for private placements, stock options and warrant exercises
Private Company Services
Trans Canada Transfer Inc. also provide Private Company Services and support to our customers. Throughout the process of development of their companies, we offer guidance and support during the private stages of the company and help in the Initial Public Offering planning process and continuing to serve as a trusted and reliable partner once their company has become public.