# EDGAR Filing Document

**Accession Number:** 0001288763
**File Stem:** 0001288763-25-000006
**Filing Date:** 2025-7
**Character Count:** 15474
**Document Hash:** dab7baf7742cedee1af0282e2f46a278
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001288763-25-000006.hdr.sgml**: 20250807

**ACCESSION NUMBER**: 0001288763-25-000006

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

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250723

**DATE AS OF CHANGE**: 20250807

**EFFECTIVENESS DATE**: 20250802

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Computershare Investor Services Inc
- **CENTRAL INDEX KEY:** 0001288763

**ORGANIZATION NAME:**
- **EIN:** 000000000

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06111
- **FILM NUMBER:** 251193176

**BUSINESS ADDRESS:**
- **STREET 1:** 100 UNIVERSITY AVENUE
- **CITY:** TORONTO
- **STATE:** A6
- **ZIP:** M5J 2Y1
- **BUSINESS PHONE:** 416-263-9200

**MAIL ADDRESS:**
- **STREET 1:** 100 UNIVERSITY AVENUE
- **CITY:** TORONTO
- **STATE:** A6
- **ZIP:** M5J 2Y1

### 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:** Computershare Investor Services Inc

**FINS Number:** 289645

**Address of principal office where transfer agent activities are performed:** 320 Bay Street, 14th floor, Toronto, A6, M5H 4A6

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

**Telephone Number:** 4162639659

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

**Other Business Location Address 1:** 1500 Robert-Bourassa Boulevard, 7th Floor, Montreal, A8, H3A 3S8

**Other Business Location Address 2:** 530-8th Avenue S.W., Suite 600, Calgary, A0, T2P 3S8

**Other Business Location Address 3:** 510 Burrard Street, 2nd Floor, Vancouver, A1, V6C 3B9

**Is registrant a self-transfer agent?:** No

**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?:** Yes

**Service Company Arrangement 1:**

- **Name:** Computershare Trust Company of Canada

- **File Number:** 084-06112

- **Address:** 320 Bay Street, 14th Floor, Toronto, A6, M5H 4A6

**Service Company Arrangement 2:**

- **Name:** Computershare Inc.

- **File Number:** 084-05925

- **Address:** 250 Royall Street, Canton, MA, 02021

**Service Company Arrangement 3:**

- **Name:** Computershare Trust Company, N.A.

- **File Number:** 085-11340

- **Address:** 250 Royall Street, Canton, MA, 02021

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** No

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name               | Relationship Start Date   | Title or Status                | Ownership Code   | Control Person   |
|:---|:---|:---|:---|:---|
| Matthew John Cox          | 07/23/2008                | CEO, President, Director       | NA               | Yes              |
| Stephen Port              | 07/01/2023                | SVP, Chief Financial Officer   | NA               | Yes              |
| Antonietta De Luca        | 10/01/2014                | Senior Vice President          | NA               | Yes              |
| Cheryl Storey             | 12/04/2020                | CCO, CRO, CPO, CAMLO           | NA               | Yes              |
| Computershare Canada Inc. | 12/10/2002                | Parent Company                 | E                | Yes              |
| ACN 081 035 752 Pty. Ltd. | 02/27/2004                | Parent Company (Indirect)      | E                | Yes              |
| Computershare Limited     | 12/10/2002                | Parent Company (Indirect)      | E                | Yes              |
| Mark Jacobs               | 02/01/2015                | Senior Vice President          | NA               | Yes              |
| Carlos Leira              | 11/11/2015                | Chief Information Officer - NA | NA               | Yes              |
| Carl Teasdale             | 11/12/2014                | Head of Vendor Management      | NA               | Yes              |
| Irene Choe                | 01/01/2024                | SVP, General Counsel           | NA               | Yes              |
| Jacqueline Morrison       | 01/01/2024                | Secretary                      | NA               | Yes              |

### 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:** Georgeson Shareholder Securities Corporation (GSSC)

    - **Action Title:** NA

    - **Action Date:** 02/27/2004

    - **Court/Body Name and Location:** SEC

    - **Action Description:** Violation of Rules 17a-3(1) and (a)(2) and (a)(11); and Rule 17a-5(a)(2)

    - **Disposition:** The SEC Northeast Regional Office, 233 Broadway, New York, NY, has asked GSSC for a letter detailing the procedures in place to safeguard against further infractions of these rules.

  - **Details #2:**

    - **Entity Name:** Computershare Trust Company of Canada

    - **Action Title:** Administrative Proceeding 3-12265, Securities Exchange Act Rel...

    - **Action Date:** 04/18/2006

    - **Court/Body Name and Location:** SEC

    - **Action Description:** Ordered to cease-and-desist from violation of Sections 15(b) and 17(a)(c) of the Securities Exchange Act 1934.

    - **Disposition:** Without admitting or denying the findings, on April 18, 2006, CTCC a control affiliate of the registrant, agreed to settle an administrative action by the SEC. See attachment for full description.

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

- **Had a registration as a financial professional denied, suspended, or revoked?:** Yes

  - **Details #1:**

    - **Entity Name:** Registrar and Transfer Company and Thomas L. Montrone

    - **Action Title:** In the Matter of Registrar and Transfer Company and Thomas L. Montrone.

    - **Action Date:** 09/23/2014

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** Administrative Proceeding File No. 3-16157: In this matter, Registrar and Transfer Company ("R&T") and certain of its employees violated Section 5 of the Securities Act; its CEO Thomas L. Montrone ("Montrone") caused R&T's violation of Section 5; and R&T and Montrone failed reasonably to supervise certain R&T employees with respect to their violations of Section 5 in connection with 54 unregistered issuances of purportedly unrestricted shares. Respondents were ordered to cease and desist from committing or causing any violations and any future violations of Sections 5(a) and 5(c) of the Securities Act. R&T has been censured. Montrone has been suspended from association in a supervisory capacity with any transfer agent, broker, dealer, investment advisor, municipal security dealer, municipal advisor or nationally recognized statistically rating organization for a period of twelve months, effective on the second Monday following the entry of the Order.

    - **Disposition:** R&T will pay the SEC disgorgement, interest, and penalties of $127,667.64; Montrone $25,000. R&T will engage an independent consultant to review and recommend corrective measures of R&T's policies and procedures to prevent future

- **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?:** Yes

  - **Details #1:**

    - **Entity Name:** Georgeson Shareholder Securities Corporation (GSSC)

    - **Action Title:** N/A

    - **Action Date:** 12/06/1999

    - **Court/Body Name and Location:** Minnesota Department of Commerce

    - **Action Description:** Withdrawal of broker-dealer application.

    - **Disposition:** Ordered pursuant to State Statute Section 80A.05 subd.1 (1994) that GSSCs application for broker-dealer be withdrawn since application was pending with the department with no activity for 120 days.

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

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

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** Computershare Securities Corporation

    - **Action Title:** Letter of Acceptance, Waiver, and Consent (AWC)

    - **Action Date:** 02/13/2006

    - **Court/Body Name and Location:** National Association of Securities Dealers Regulation, Inc.

    - **Action Description:** Computershare Securities Corporation (CRD 107023, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $60,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it executed securities transactions while failing to maintain its minimum required net capital. The findings stated that the firm failed to comply with SEC Rule 17a-3(a) in that it prepared inaccurate trial balances and net capital computations for numerous months. The findings also stated that the firm failed to comply with SEC Rule 17a-5 in that it filed inaccurate NASD Financial Operational Combined Uniform Single (FOCUS) Part IIA Reports for several months. (NASD Case E8A2005005301)

    - **Disposition:** See Above.

  - **Details #2:**

    - **Entity Name:** Georgeson Securities Corporation

    - **Action Title:** CRD 46749, New York, New York NASD Case 2006004077101

    - **Action Date:** 07/10/2007

    - **Court/Body Name and Location:** National Association of Securities Dealers

    - **Action Description:** Georgeson Securities Corporation (CRD 46749, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $30,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to maintain and preserve all of its electronic communications as required by SEC Rule 17a-4. The findings stated that the firm electronically backed-up electronic communications at the end of each day, but failed to capture, maintain and preserve any electronic communication deleted from a user's deleted items folder during the day.

    - **Disposition:** See Above.

  - **Details #3:**

    - **Entity Name:** Georgeson Securities Corporation

    - **Action Title:** CRD 46749, New York, New York FINRA Case 2009016205701

    - **Action Date:** 01/21/2011

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority

    - **Action Description:** Georgeson Securities Corporation (CRD 46749, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $10,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to adequately ensure that it maintained a complete record of all free-credits due to customers. The findings stated that this caused the firm's customer reserve computation and books and record to be inaccurate. The findings also stated that the firm failed to include in its customer reserve computation $134,715.60 of customer checks it received on a specific day, thereby miscalculating its customer reserve. The findings also included that instead, the firm relied on a bank statement to determine the credit amounts to include in its reserve formula; the bank statement did not reflect checks that the firm received on the date of the bank statement.

    - **Disposition:** See above.

  - **Details #4:**

    - **Entity Name:** Georgeson Securities Corporation

    - **Action Title:** CRD 46749, New York, New York FINRA Case 2016050194001

    - **Action Date:** 12/21/2016

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority

    - **Action Description:** Georgeson Securities Corporation (CRD 46749) was found to have violated Exchange Act Rule 17a-4, NASD Rules 3110 and 2110, and FINRA Rules 4511 and 2010. The Firm failed to: maintain electronic records in the write once read many ("WORM") format; provide a 90-day notice to its designated examination authority prior to using electronic storage media; implement an audit system regarding the inputting of records in electronic storage media; obtain an attestation from its third-party vendor; and the firm's supervisory system for records storage was deemed not reasonably designed.

    - **Disposition:** Without admitting or denying the factual allegations, the Firm submitted a Letter of Acceptance, Waiver and Consent in which the Firm was censured and fined $650,000.

- **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?:** Yes

  - **Details #1:**

    - **Entity Name:** Georgeson LLC (GLLC)

    - **Action Title:** U.S. District Court of Massachusetts Docket Number 17CR-10367.

    - **Action Date:** 11/30/2017

    - **Court/Body Name and Location:** U.S. District Court of Massachusetts

    - **Action Description:** In connection with a Deferred Prosecution Agreement ("DPA"), an information containing a single felony count of conspiracy was filed against GLLC. The information states that, in or about and between September 2007 and March 2012, GLLC and others conspired to commit: (1) wire fraud and honest services wire fraud by engaging in a scheme to defraud Institutional Shareholder Services ("ISS") of confidential client voting information regarding whether and how ISS's clients had voted on particular shareholder proposals and of the honest and faithful services of an employee, by providing that employee with tickets to concerts and sporting events; and (2) wire fraud by engaging in a scheme to defraud clients of GLLC by sending them invoices for at least a portion of the cost of the tickets provided to the ISS employee, which falsely described those charges as legitimate expenses that were properly passed on to the clients.

    - **Disposition:** A DPA was entered on November 30, 2017. A fine of $4.5 million was paid on December 4, 2017. The DPA provides that, if GLLC fully complies with all of its obligations under the DPA, the U.S. Attorney's Office will dismiss the information with prejudice.

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

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

### Signature

**Signature:** Cheryl Storey

**Title:** CCO, CRO, CPO, CAMLO

**Date:** 07/23/2025

**Phone Number:** 4162639443