STOCK TRANSFER

As Transfer Agent and Registrar, Alliance Trust Company provides administrative services for all transactions involving publicly listed corporations.

1. Administrator of Initial Public Offerings and New Issues

 

  • Act as a Subscription Agent to receive funds in trust and to issue share certificates from treasury to the subscribers

  • Facilitate Closings

 

2. Transfer Agent and Registrar

 

  • Record issuance and cancellation of shares, and maintenance of Share Registers for public corporations

  • Screen transfer documents for validity, including any estate documentation

  • Effect share transfers

  • Maintain Capital Control records

  • Maintain an inventory of share certificates

  • Maintain any “Stop Transfer“ notations

  • Answer shareholder inquirers

 

3. Escrow Agent

 

  • Act as a third party under Escrow and Pooling Agreements which govern important documents, such as share certificates, software packages and other items of value

  • Diarize and release shares in accordance with the terms of the Agreements

  • Act as a Cash Escrow agent under sale/ purchase agreements and hold the funds until the appropriate time and condition for release

 

4. Shareholder Meeting Services

 

  • We will work with your corporation on National Instrument 54-101 compliance, by preparation of a list of critical dates to ensure the chain of communication with the non-registered shareholders is maintained and that they receive proxy materials on a timely basis

  • Shareholder mailings

  • Proxy tabulation

  • Provide ongoing proxy reports to your corporation

  • Monitor voting trends and notify your corporation of any unusual activity

  • Scrutineer services, including the identification of contentious issues before and during shareholder meetings

  • Act as a special scrutineer under contentious shareholder meetings

 

5. Proxy Solicitation Agent

 

  • Act on behalf of public corporations and/or third parties in contentious situations, to solicit maximum votes

  • Act on behalf of your corporation to solicit maximum votes on special resolutions

 

6. SEDAR Filing Services

 

  • Electronic and timely filing of regulatory documents, such as reports and press releases to ensure continuous disclosure.

 

7. Dividend Disbursement Agent

 

  • Disburse dividends to shareholders on behalf of public corporations and maintain appropriate tax records

B U I L D I N G  A L L I A N C E S -

I N  C O R P O R A T E  T R U S T