The Transfer Agency Agreement is essential for investment funds operating in Switzerland that require professional transfer agency services. This agreement is typically implemented when a fund or fund management company needs to outsource investor servicing, record-keeping, and transaction processing functions to a specialized provider. The document must comply with Swiss financial regulations, particularly the Federal Act on Collective Investment Schemes (CISA) and FINMA requirements. It establishes the framework for maintaining shareholder registers, processing subscriptions and redemptions, ensuring regulatory compliance, and managing investor communications. The agreement is crucial for funds seeking to ensure professional management of their investor relations and regulatory obligations while maintaining operational efficiency.
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1. Parties: Identification of the contracting parties - typically the fund/investment company and the transfer agent
2. Background: Context of the agreement and brief description of the parties' business activities
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: Detailed description of core transfer agency services including investor registration, transaction processing, and record keeping
6. Compliance and Regulatory Obligations: Obligations regarding AML, KYC, data protection, and other regulatory requirements
7. Instructions and Communications: Procedures for giving and receiving instructions between parties
8. Fees and Expenses: Fee structure, payment terms, and allocation of expenses
9. Standard of Care and Liability: Service level standards and limitation of liability provisions
10. Confidentiality: Confidentiality obligations and permitted disclosures
11. Data Protection: Compliance with FADP and data handling requirements
12. Term and Termination: Duration of agreement and termination provisions
13. Force Majeure: Provisions for unforeseen circumstances and force majeure events
14. Governing Law and Jurisdiction: Specification of Swiss law as governing law and jurisdiction
15. Miscellaneous: General provisions including notices, amendments, and assignment
1. Sub-Contractors: Include when the transfer agent may need to delegate certain functions to third parties
2. Foreign Account Tax Compliance: Include for funds with US investors or FATCA obligations
3. Distribution Support Services: Include if the transfer agent provides additional distribution support
4. Network of Transfer Agents: Include if multiple transfer agents are involved across different jurisdictions
5. Business Continuity: Include detailed business continuity provisions if not covered in schedules
6. Investment Compliance Monitoring: Include if the transfer agent provides investment restriction monitoring services
7. Electronic Services: Include if specific online or electronic services are provided
1. Schedule 1 - Services Description: Detailed description of all transfer agency services and procedures
2. Schedule 2 - Fee Schedule: Detailed fee structure, calculations, and payment terms
3. Schedule 3 - Service Levels: Specific service level agreements and performance metrics
4. Schedule 4 - Operational Procedures: Detailed operational procedures and workflows
5. Schedule 5 - Data Protection Requirements: Specific data protection and security requirements
6. Schedule 6 - Authorized Persons: List of authorized signatories and contact persons
7. Schedule 7 - Business Continuity Plan: Details of business continuity and disaster recovery procedures
8. Appendix A - Form Documents: Standard forms used in transfer agency services
9. Appendix B - Technical Requirements: Technical specifications and system requirements
Relevant legal definitions
Account
Administrative Services
Affiliate
Anti-Money Laundering Laws
Applicable Law
Authorized Person
Business Day
CISA
Confidential Information
Cut-off Time
Data Protection Laws
Dealing Day
Electronic Services
FATCA
Fee Schedule
FINMA
Force Majeure Event
Fund
Fund Documents
Governing Documents
Instructions
Investment Company
Investor
KYC
NAV
Operational Procedures
Personal Data
Prospectus
Record Date
Register
Regulatory Authority
Relevant Party
Services
Service Level Agreement
Share
Shareholder
Sub-contractor
Swiss Banking Day
Trade Date
Transfer Agency Services
Transfer Agent System
Unit
Unitholder
Valuation Day
Valuation Point
Administrative Services
Affiliate
Anti-Money Laundering Laws
Applicable Law
Authorized Person
Business Day
CISA
Confidential Information
Cut-off Time
Data Protection Laws
Dealing Day
Electronic Services
FATCA
Fee Schedule
FINMA
Force Majeure Event
Fund
Fund Documents
Governing Documents
Instructions
Investment Company
Investor
KYC
NAV
Operational Procedures
Personal Data
Prospectus
Record Date
Register
Regulatory Authority
Relevant Party
Services
Service Level Agreement
Share
Shareholder
Sub-contractor
Swiss Banking Day
Trade Date
Transfer Agency Services
Transfer Agent System
Unit
Unitholder
Valuation Day
Valuation Point
Clauses
Appointment
Scope of Services
Regulatory Compliance
Anti-Money Laundering
Data Protection
Confidentiality
Service Levels
Fees and Expenses
Payment Terms
Record Keeping
Reporting
Instructions
Electronic Services
Sub-contracting
Standard of Care
Representations and Warranties
Indemnification
Limitation of Liability
Force Majeure
Business Continuity
Intellectual Property
Audit Rights
Term
Termination
Consequences of Termination
Assignment
Notices
Amendment
Severability
Entire Agreement
Waiver
Third Party Rights
Counterparts
Governing Law
Dispute Resolution
Scope of Services
Regulatory Compliance
Anti-Money Laundering
Data Protection
Confidentiality
Service Levels
Fees and Expenses
Payment Terms
Record Keeping
Reporting
Instructions
Electronic Services
Sub-contracting
Standard of Care
Representations and Warranties
Indemnification
Limitation of Liability
Force Majeure
Business Continuity
Intellectual Property
Audit Rights
Term
Termination
Consequences of Termination
Assignment
Notices
Amendment
Severability
Entire Agreement
Waiver
Third Party Rights
Counterparts
Governing Law
Dispute Resolution
Relevant Industries
Financial Services
Investment Management
Fund Administration
Banking
Asset Management
Securities Services
Wealth Management
Relevant Teams
Legal
Compliance
Operations
Fund Administration
Client Services
Risk Management
Investment Operations
Regulatory Reporting
Relationship Management
Product Management
Relevant Roles
Fund Manager
Chief Operating Officer
Head of Operations
Compliance Officer
Legal Counsel
Transfer Agent Manager
Relationship Manager
Operations Director
Risk Manager
Head of Client Services
Fund Administrator
Regulatory Reporting Officer
Investment Operations Manager
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