Defendant Name: DST Asset Manager Solutions, Inc.

Defendant Type: Subsidiary of Public Company
Public Company Parent: SS&C Technologies Holdings, Inc.
SIC Code: 9999
CUSIP: 78467J10

Initial Case Details

Legal Case Name In the Matter of DST Asset Manager Solutions, Inc.
First Document Date 17-Aug-2023
Initial Filing Format Administrative Action
File Number 3-21565
Allegation Type Other

Violations Alleged

Other
• Rule 17Ad-17 Exchange Act

Resolutions

First Resolution Date 17-Aug-2023
Headline Total Penalty and Disgorgement $500,000

Related Documents:

34-98153 17-Aug-2023 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 17A(c) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On August 17, 2023, the SEC instituted administrative and cease-and-desist proceedings against DST Asset Manager Solutions, Inc., stating: "DST, a registered transfer agent, failed to exercise reasonable care to ascertain the correct addresses of lost securityholders in violation of Exchange Act Rule 17Ad-17."