Investor services and transfer agency
Before accepting an investor or processing a deal, complete applicable eligibility, KYC/CDD, tax self-certification, sanctions, source-of-funds/wealth and fund-document requirements. Incomplete items follow an approved exception policy with explicit cash blocking, unit issuance and escalation rules.
Dealing workflow
- Receive the instruction through an approved channel; preserve the original, timestamp and authority.
- Check cut-off, dealing day, minimums, lock-up, notice, gate and suspension.
- Verify bank-detail changes independently; never amend and pay from the same email alone.
- Match subscription cash to investor, amount, currency and value date.
- Use the formally approved NAV and a second-person check.
- Update the register, dealing log, confirmation, dilution adjustment and cash forecast.
Reconcile the register to ledger units, the NAV unit roll-forward, investor statements and cash. Static-data changes retain before/after values, request evidence, callback or equivalent validation, maker, checker and timestamp.
High-risk cases include third-party payments, late orders backdated to an earlier dealing day, identity/payment/tax mismatches, unresolved sanctions or suspicious activity, and side-pocket or in-kind redemptions.