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 Standard
Stock Processing
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Certificate Processing |
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- Issuance by cancellation tracking
- Customized transfer journals
- Customized transmittals
- Registrar control reports
- Co-agent processing
- Integrated book-entry
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- Automated DTC (FAST) interface
- Certificate denominational control
- SEC turnaround tracking, TA-2
- Sub-batching
- Multiple certificate locations
- Authorized, outstanding control
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Corporate Actions |
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- Cash dividends
- Forward and reverse Stock dividends/splits
- Exchanges
- Spin-offs
- Conversions
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- Rights & warrants
- Calls
- Tenders
- DDA (check reconciliation)
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Document Control |
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- Inventory at multiple locations
- Multiple certificate/check formats
- Complete customization by user
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- Customized sorting
- Cut-sheet & continuous
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Reinvestment
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Plan Parameters |
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- Fractional share rounding from 0 to 9 decimals
- Partial reinvestment by share or percentage
- Voting of plan shares (yes or no)
- Voting of fractional plan shares (or full shares only)
- Consolidate certificated and plan shares on proxy ballot
- Flat and/or per share withdrawal fee
- Unissued share (Reserve) or open market purchase of plan shares
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- Cash can be paid on participating shares
- Limit full or partial reinvestment using shares held or percentage held
- Permit minimum, maximum and multiple limits on cash contributions
- Discounts on cash and/or dividend reinvestment
- Brokerage/Service Charge taxable to holder and/or company
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Participant Options |
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- Customizable plan statements including logos and messages
- Employee Stock Option/purchase plans
- Multiple plans per issue
- Reinvestment into other issues
- Ad-hoc or scheduled entry of cash contributions
- Cash contributions or refunds
- Certificate deposits or withdrawals
- Customizable cash acknowledgement confirmations
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- Combined processing of certificated and plan shares at the same time
- Automated feed of cash contributions from payroll/other system
- Automated plan liquidation
- Customizable plan statements including logos and messages
- Employee Stock Option/purchase plans
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Proxy
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Proxy Tabulation |
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- Up to 40 proposals
- Cumulative, partial voting
- Omnibus proxy
- Remote PC access at annual meeting
- Interface with DTC, ADP
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- Broker search labels
- Selective re-solicit
- Multiple vote tracking
- Consolidated proxies
- Bar code for ease of vote tabulation
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Regulatory & Taxes
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Security/Audit Control |
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- Password & operator number
- Must change after 30 days
- Limit access by activity
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- Limit access by issue/issuer
- Full on-screen audit trial
- Sarbanes-Oxley Compliant
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Taxes/Escheat |
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- 1099 B, D, I, OID
- Lost holder tracking
- W-8, W-9, 1042 S
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Other
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Fees |
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- Minimum/maximum by type
- Discount, base
- Receivables tracking
- Unpaid aging reports
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- Fee credits
- Off-cycle billing
- Projection reports
- Approve and/or edit counts
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Correspondence |
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- Turnaround tracking
- Canned correspondences
- Form letter templates
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