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Stock Transfer Form

In the last quarter of 2023 the Investment Association (IA) consulted on updating the form used to transfer the ownership of shares/units of funds between different parties. The final updated form was signed off at the end of 2023 and SS&C are now accepting the new style form. We have added the new Guidance Notes & Transfer Form to the right. You will note there is a digital copy of the Transfer Form which can be completed digitally before applying the relevant signatures and sending the SS&C for processing.

To speed up the transfer process please consider using our Document Upload facility which is supported by all Fund Groups for Stock Transfer requests.

Please also consider other existing requirements for stock transfers which can be found on the relevant Fund Groups page.

Stock Transfer Guide

When completing stock transfers, whether between nominees or from a private client to a Nominee, the requirements remain the same:

  • Receipt of a correctly completed Stock Transfer Form;

  • Money Laundering completed for transferor and, if applicable, transferee (If outstanding for a private client this will result in rejection of the request);

  • Sufficient settled units to transfer; and

  • Gross Declaration (where applicable).

To assist you in correctly completing the Stock Transfer Form, please see the IA Guidance Notes.

Stock Transfer Form checklist

When completing stock transfers, whether between nominees or from a private client to a Nominee, the requirements remain the same:
  • Have you provided the correct fund name and ISIN code? Do they match?
  • Have you provided the correct number of units or, alternatively, stated “All”?
  • Do your figures and words match for number of units/shares to be transferred?

  • Has the lodging agent details been added to the form (if commission is to be paid to them)?

  • Have you stated the correct registered address and designation?
  • If you are transferring from or to a private client, do you need to provide an Agent Verification Certificate or Money Laundering Documents with your instruction?
  • Has the form been signed by the appropriate authorised signatories and are their capacities stated?

  • Has the form been dated ?

New Guidance Notes & Transfer Form

SS&C will accept the new style Stock Transfer Form from 1 January 2024

Old Guidance Notes & Transfer Form

SS&C will continue to accept and process the old style Stock Transfer Form