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