Transfer Agency Administration and Oversight Exam

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Transfer Agency Administration and Oversight
Element 3:
– know the range of wrappers typically available and the advantages they provide
– know regulatory limitations and restrictions associated with wrappers
– know the ISA rules surrounding:
• subscriptions
• uninvested funds
• transfers
• eligibility
• open market prices
• withdrawals/flexibility
• stock lending
• using an ISA as security for a loan
• additional permitted subscriptions (APS)
• deceased partners inheritances
• child maintenance deduction orders
• income and tax claims
• correcting errors and compensating investors
• HMRC direct recovery of debts

Element 4:
Managing the risk of financial crime

– Financial crime
– know the stages of the money laundering process:
• placement
• layering
• integration
– understand how financial services firms may be utilised for financial crime:
• Ponzi schemes
• boiler rooms
• money laundering
• offshore trusts
• mortgage fraud
• beneficial ownership
– understand how a firm or its representatives may collude in the propagation of

financial crime:
• misstatement of financial circumstances
• corporate fraud
– know the TA forum’s role in combating Pension Liberation Scams

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