Legal Committee

MISSION

The Legal Committee is charged with responsibility for examining major regulatory and legal issues on behalf of the Association and its members. It plays a significant part in satisfying the Association's mission to provide advocacy services to the transfer industry.

The scope of its efforts includes review and comment on legislation/rulemaking affecting the transfer industry, legal review of new products proposed by the Association or other participants in the securities processing environment (e.g., DTCC, SIA, the securities exchanges), and ongoing direct communication with the regulatory agencies who oversee our business (primarily but not exclusively, the SEC). Comprised of 13 members, 12 are attorneys who represent the securities transfer businesses of the firms they work for, all of which are Association members.

Initiatives over the last twelve months have included: consulting with the SEC regarding proposed revisions to the transfer agent rules, addressing issues relating to working with the Depositary Trust Company, assessing risk and legal ramifications of implementation of 'Paperless Legals,' and review with the SEC of the possible impact of the Gramm Leach Bliley Act on investment plan administration by transfer agents.



LEGAL COMMITTEE MEMBERS

Andrea Manning, Computershare, Co-Chair
Steven G. Nelson, Continental Stock Transfer & Trust Co., Co-Chair
Patricia Brigantic, Citibank, N.A.
Daniel D'Angelo, Computershare
Yoel Goldfeder, VStock Transfer LLC
Mark A. Harmon, Hodgson Russ LLP
William A. Harris, Computershare
Laurie K. Jones, EQ by Equiniti
Paul Kim, American Stock Transfer & Trust Company
David Paterson, Kemark Financial Services, Inc.
Asher Richelli, American Stock Transfer & Trust Company
Adriane Waring, HSBC Bank USA, N.A.

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