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
Document Reference:
34-98153
Document Details
Legal Case Name
In the Matter of DST Asset Manager Solutions, Inc.
Document Name
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
Document Date
17-Aug-2023
Document Format
Administrative Proceeding
Allegation Type
Other
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Other Compliance Related Undertaking
Monetary Penalties:
Civil Penalty
Individual:
$500,000.00
Shared:
