0000027048-23-000009.txt : 20230929
0000027048-23-000009.hdr.sgml : 20230929
20230929164912
ACCESSION NUMBER: 0000027048-23-000009
CONFORMED SUBMISSION TYPE: TA-1/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20230929
DATE AS OF CHANGE: 20230929
EFFECTIVENESS DATE: 20231009
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SS&C GIDS, Inc.
CENTRAL INDEX KEY: 0000027048
IRS NUMBER: 431581814
FILING VALUES:
FORM TYPE: TA-1/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 084-00448
FILM NUMBER: 231296375
BUSINESS ADDRESS:
STREET 1: 1055 BROADWAY, 7TH FL
CITY: KANSAS CITY
STATE: MO
ZIP: 64105
BUSINESS PHONE: 8164351000
MAIL ADDRESS:
STREET 1: 1055 BROADWAY ST. 7TH FL
STREET 2: ATTN LEGAL DEPT
CITY: KANSAS CITY
STATE: MO
ZIP: 64105
FORMER COMPANY:
FORMER CONFORMED NAME: DST SYSTEMS INC /TA
DATE OF NAME CHANGE: 20220218
FORMER COMPANY:
FORMER CONFORMED NAME: DST SYSTEMS INC /TA
DATE OF NAME CHANGE: 20000101
FORMER COMPANY:
FORMER CONFORMED NAME: DST INC
DATE OF NAME CHANGE: 19841016
TA-1/A
1
primary_doc.xml
X0405
TA-1/A
0000027048
XXXXXXXX
084-00448
true
LIVE
SEC
SS&C GIDS, Inc.
DST SYSTEMS INC /TA
401588
1055 Broadway St
Kansas City
MO
64105
Y
1055 Broadway St, 7th FL
ATTN LEGAL DEPT
KANSAS CITY
MO
64105
816-435-1000
Y
7201 E 64th Ct
Kansas City
MO
64133
330 W 9th St
Kansas City
MO
64105
430 W 7th St
Kansas City
MO
64105
2000 Crown Colony Drive
Quincy
MA
02169
N
Y
DST Asset Manager Solutions Inc.
084-00896
2000 Crown Colony Dr
Quincy
MA
02169
SS&C Fintech Services India Private Limited
084-06342
5th Floor, Block B, Q City
Nanakramguda, Gachibowli
Hyderabad
K7
500032
Y
Thrivent Financial Investor Services, Inc.
084-01547
4321 N Ballard Rd
Appleton
WI
54919
State Street Bank & Trust Company
085-05003
One Lincoln Street
Boston
MA
02111-2900
DWS Service Co.
084-01713
222 South Riverside Plaza
Chicago
IL
60606
Transamerica Fund Services, Inc.
084-06130
1801 California St
Suite 5200
Denver
CO
80202
American Century Services, LLC
084-01406
4500 Main Street
Kansas City
MO
64111
Goldman, Sachs & Co. LLC
084-01100
71 South Wacker Drive
Suite 400
Chicago
IL
60606
Fidelity Investments Institutional Operations Co., LLC
084-01839
245 Summer St
Boston
MA
02210
NYLIM Service Company LLC
084-05844
30 Hudson Street
Jersey City
NJ
07302
Columbia Management Investment Services Corp.
084-05685
225 Franklin Street
25th Floor
Boston
MA
02110
Principal Shareholder Services, Inc.
084-05657
620 Coolidge Dr
Ste 300
Folsom
CA
95630-3183
MFS Service Center, Inc.
084-01316
111 Huntington Ave
Boston
MA
02199
John Hancock Signature Services, Inc.
084-01885
380 Stuart Street
Boston
MA
02116
Hartford Administrative Services Company
084-00353
690 Lee Road
Wayne
PA
19087
Russell Investments Fund Services, LLC
084-06276
1301 Second Avenue
18th Floor
Seattle
WA
98101
Prudential Mutual Fund Services, LLC.
084-05681
655 Broad Street
Prudential Tower, 17th Floor
Newark
NJ
07102
T. Rowe Price Retirement Plan Services, Inc.
084-01917
4515 Painters Mills Road
Owings Mills
MD
21117
Corporation
SS&C Technologies Holdings, Inc.
04/16/2018
Indirect Owner
E
true
Adam Girard
04/16/2018
Tax Officer
NA
true
William C. Stone
04/16/2018
Director
NA
true
Patrick Pedonti
04/16/2018
Executive VP, Treasurer, Director
NA
true
SS&C Technologies, Inc.
04/16/2018
Direct Owner
E
true
Nick Wright
12/23/2021
President
NA
true
Nicole Greene
09/05/2022
Head of Global Investor & Dist. Solution
NA
true
N
N
N
N
N
N
N
Y
DST Asset Manager Solutions, Inc.
Order Instituting Administrative and Cease and Desist Proceedings File No. 3-21565 Release No. 98153
08/17/2023
United States Securities and Exchange Commission
The SEC alleged that DST Asset Manager Solutions, Inc. ("DST AMS"), who is an SEC registered transfer agent, violated Exchange Act Rule 17Ad-17 related to searching for lost securityholders, by requiring a database search match to the lost securityholders name in addition to social security number as a condition to sending outreach letters to potentially better mailing addresses in an attempt to locate lost securityholders.
Pursuant to the Order, in addition to a $500,000 civil monetary penalty and a censure, DST AMS agreed to undertake to (a) take reasonable steps to locate lost securityholders to whom it did not send outreach letters after receiving an SSN match after database searches and who experienced escheatment during the period covered by the investigation, (b) request its mutual fund clients to periodically send out notifications to their shareholders informing them of the risk of escheatment, and (c) provide written certification annually for five years that its written policies and procedures have complied with the requirements of Rule 17Ad-17 and that it has followed those written policies and procedures in practice.
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Nicole Greene
617-733-1462
Head of Global Investor & Distribution Solutions
09/29/2023