# EDGAR Filing Document

**Accession Number:** 0001170078
**File Stem:** 0001170078-23-000002
**Filing Date:** 2023-2
**Character Count:** 5334
**Document Hash:** 10cfd17886b5a9da93a1e9ff5c99d0d2
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001170078-23-000002.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0001170078-23-000002

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230210

**DATE AS OF CHANGE**: 20230213

**EFFECTIVENESS DATE**: 20230220

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** JANUS HENDERSON SERVICES US LLC
- **CENTRAL INDEX KEY:** 0001170078
- **IRS NUMBER:** 753019319

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06024
- **FILM NUMBER:** 23620452

**BUSINESS ADDRESS:**
- **STREET 1:** 720 S COLORADO BLVD
- **CITY:** DENVER
- **STATE:** CO
- **ZIP:** 80206
- **BUSINESS PHONE:** 303-333-3863

**MAIL ADDRESS:**
- **STREET 1:** 151 DETROIT ST
- **CITY:** DENVER
- **STATE:** CO
- **ZIP:** 80206

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** JANUS SERVICES LLC
- **DATE OF NAME CHANGE:** 20020327

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** JANUS HENDERSON SERVICES US LLC

**FINS Number:** 265660

**Address of principal office where transfer agent activities are performed:** 151 Detroit Street, Denver, CO, 80206

**Is mailing address different from principal office address?:** No

**Telephone Number:** 3033333863

**Does registrant conduct business in other locations?:** Yes

**Other Business Location Address 1:** 720 S. Colorado Blvd., Denver, CO, 80246

**Is registrant a self-transfer agent?:** Yes

**Does registrant engage a service company to perform any of its transfer agent functions?:** Yes

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Not Applicable

**Does any other person control the management or policies of the applicant?:** —

**Does any other person directly or indirectly finance the applicant?:** —

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** Yes

  - **Details #1:**

    - **Entity Name:** Janus Henderson Investors US LLC

    - **Action Title:** Order Instituting Administrative and Cease-And-Desist Proceedings

    - **Action Date:** 09/09/2022

    - **Court/Body Name and Location:** SEC Enforcement Division, Asset Management Unit, Washington, DC

    - **Action Description:** On September 9, 2022, Janus Henderson Investors US LLC (JHIUS) was the subject of an order from the U.S. Securities and Exchange Commission. For purposes of the order, JHIUS without admitting or denying the findings was found to have violated Section 206(4) of the Advisers Act and Rule 206(4)-2 thereunder (the Custody Rule) by failing to timely deliver audited financials to approximately 10% of the Janus Henderson European Best Ideas Fund LLC (EBI Fund) investors in 2018, 2019, and 2020. In consequence, JHIUS was censured, ordered to cease and desist and directed to pay a $150,000 civil money penalty. Upon becoming aware of the events giving rise to this order, JHIUS distributed the audited financial statements for fiscal years 2018, 2019 and 2020 to the EBI Fund investors that had not received them. In addition, JHIUS confirmed that delivery has otherwise occurred since that time and implemented additional oversight to prevent any future delays in the distribution of audited financial statements.

    - **Disposition:** JHIUS was censured, ordered to cease and desist and directed to pay a $150,000 civil money penalty.

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** No

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** No

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** No

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Paul Seyler

**Title:** Head of Transfer Agency Compliance, NA

**Date:** 02/10/2023

**Phone Number:** 3036913949