On an annual basis, the amount of capital raised in exempt offerings is twice the size of registered offerings. Regulation D is the most frequently used pathway to raise capital from investors and works well for companies that have access to accredited investors.

Forward-thinking transfer agents are leveraging CustodyWare’s cap table management software to meet issuer and investor demand for high-tech, high-touch solutions.

Source: Office of the Advocate for Small Business Capital Formation

1.INTEGRATE

CustodyWare seamlessly integrates into your existing TA technology or as a standalone hosted web portal.

2.PROGRAM COMPLIANCE

Integrated KYC/AML compliance checks on investors with an audit trail that checks have been performed.

3.EXPAND SERVICES

Support the influx of new Reg A+, Reg D, & Reg CF issuers conducting exempt securities offerings.

4.PROTECT INVESTORS

Protect investors and issuers with transparent and immutable storage of shareholder records.

Reg A+ or S-1 Securities Offerings

Reg CF or Reg D Securities Offerings

Good Control Location

Engaging a transfer agent is mandated by the SEC for issuers conducting S-1 registrations or securities offerings under Regulation A+, unless 12(g) exempt.

Efficient transfer agent operations are critical to the successful completion of secondary trades. Reg D and Reg CF issuers will be looking to transfer agents who offer a streamlined solution.

Immutable proof of the holder’s identity is maintained by CustodyWare while the actual identity documentation is securely stored by the transfer agent in a regulatory compliant storage media pursuant to SEC Regulation S-P.

How it works

1

The issuer engages an SEC registered transfer agent in the CustodyWare community to manage investors’ shareholdings.

2

The electronic assets remain the property of the investor, and the investor has complete control of movement, however, appointing a transfer agent enables safe and transparent management of the assets.

3

Utilizing a transfer agent sets up an issuer’s securities for increased liquidity potential as such securities can be moved to “street-name” for secondary trading on an SEC-regulated ATS.

4

On instruction from an investor, transfer agents can execute transfers and releases to secondary trading.

5

CustodyWare-powered transfer agents can maintain post-offering up-to-date shareholder listings, reports, distributions, proxy information, etc. with the cap table management software.

Join our transfer agent community

“The realization seems to be setting in that a transfer agent is necessary even for shares offered pursuant to a Reg CF or Reg D exemption. CustodyWare is the product that we have been waiting for to maintain the integrity of the small cap. marketplace.”
-Yoel Goldfeder, CEO of VStock Transfer

How will you manage the new wave of capital formation?

Schedule Demo

To request more information or if you have any questions you may also reach us at horizon@custodyware.com.

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