Cap Table Management Software for Transfer Agents
Compliantly manage Reg D, Reg A+, and Reg CF securities#Offer issuers a seamless path to secondary trading with streamlined ATS-transfer solution#Pay dividends with the click of a button#Optimize existing transfer agent services with CustodyWare technology
Is your transfer agency equipped to support the next wave of capital formation?
The exempt securities market, which includes popular capital raising vehicles Regulation D (Reg D), Regulation A+ (Reg A+), and Regulation CF (Reg CF), surpassed the registered securities market in 2019.
69%
Of all new capital raised in the U.S. in 2019 utilized an exempt securities offering
$2.7T
Amount of capital raised in exempt securities offerings in 2019
Forward-thinking transfer agents are leveraging CustodyWare’s cap table management software to meet issuer and investor demand for high-tech, high-touch solutions.
Update your legacy cap table management systems with one integrated solution
1.INTEGRATE
CustodyWare seamlessly integrates into your existing TA technology or as a standalone hosted web portal.
2.PROGRAM COMPLIANCE
Integrated KYC/AML compliance checks on investors with an audit trail that checks have been performed.
3.EXPAND SERVICES
Support the influx of new Reg A+, Reg D, & Reg CF issuers conducting exempt securities offerings.
4.PROTECT INVESTORS
Protect investors and issuers with transparent and immutable storage of shareholder records.
Features
Dividend payment tools
Paying agent tools for instantaneous dividends & distributions to shareholders
Simplified transfers to secondary trading
Perform ATS-transfers with efficient handling of multiple holding periods, affiliates, etc.
Compliance-first
Programmed compliance for restricted securities, Rule 144, affiliate management, etc.
Up to date shareholder listings
Combine anonymized data with securely stored personal information to generate accurate shareholder reports
Streamline all major transfer agent functions
Issuance, cancel, transfer, query, reporting, affiliates and release. Replace stolen or lost securities
Logged transactions on immutable storage medium
Timestamped transaction records on tamper-proof media for issuer and investor protection
Annual reports & proxy statements
Send out annual reports and proxy information for shareholders to vote
Protect sensitive data
Assure users their information is protected and in compliance with SEC Rule 17A-4(F)
Transfer agent DRS Platform
Give shareholders ability to hold their shares in book-entry form instead of a physical stock certificate
Securities Issuers
|
Reg A+ or S-1 Securities Offerings |
Reg CF or Reg D Securities Offerings |
Good Control Location |
|---|---|---|
Engaging a transfer agent is mandated by the SEC for issuers conducting S-1 registrations or securities offerings under Regulation A+, unless 12(g) exempt. |
Efficient transfer agent operations are critical to the successful completion of secondary trades. Reg D and Reg CF issuers will be looking to transfer agents who offer a streamlined solution. |
Immutable proof of the holder’s identity is maintained by CustodyWare while the actual identity documentation is securely stored by the transfer agent in a regulatory compliant storage media pursuant to SEC Regulation S-P. |
How it works
The issuer engages an SEC registered transfer agent in the CustodyWare community to manage investors’ shareholdings.
The electronic assets remain the property of the investor, and the investor has complete control of movement, however, appointing a transfer agent enables safe and transparent management of the assets.
Utilizing a transfer agent sets up an issuer’s securities for increased liquidity potential as such securities can be moved to “street-name” for secondary trading on an SEC-regulated ATS.
On instruction from an investor, transfer agents can execute transfers and releases to secondary trading.
CustodyWare-powered transfer agents can maintain post-offering up-to-date shareholder listings, reports, distributions, proxy information, etc. with the cap table management software.
Join our transfer agent community
How will you manage the new wave of capital formation?
To request more information or if you have any questions, please fill out the form below and we'll be in touch shortly. You may also reach us at horizon@custodyware.com.
Error submitting your message. Are all fields valid and filled in?
Message Successfully Sent!
CustodyWare
CustodyWare equips registered U.S. transfer agents with next gen. cap table management software to manage securities on behalf of their clients pursuant to an SEC-registered or exempt securities offering.
CustodyWare is part of Horizon. Horizon offers a suite of integrated securities software applications for compliant issuance through secondary trading of electronic securities.
Horizon is listed in the FINRA Compliance Vendor Directory.
Horizon
Baarer Str. 57
6302 Zug
Switzerland
Horizon Software Solutions
Secondary Trading
Securities Issuance
Know Your Customer ‘KYC’
Anti-Money Laundering ‘AML’
Cap Table Management for Transfer Agents
Data Management Platform