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Our Core Platform

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Our clients depend on DST’s industry experience, technological expertise and service excellence to help them process, safeguard and communicate critical, high-value information. TA2000®, our proprietary platform for U.S. shareholder recordkeeping, handles virtually all investor-related activity, including:

  • Account establishment and maintenance
  • Financial transactions
  • Reconciling case and share activity
  • Calculating and disbursing commissions to brokers and other distributors
  • Processing dividends and capital gains
  • Reporting sales
  • Providing information for customized trade confirmation, statements and tax forms
  • Electronic delivery of customer communications.

We are committed to the ongoing development of our core solution with an unwavering focus on helping you improve quality, increase productivity and drive efficiency. Following are some of the standard features of our platform.

Automated Dividend Adjustments

Our system can automatically generate and post the vast majority of dividend, capital gain, withholding, and foreign tax adjustments, virtually eliminating the need for manual intervention.

Contingency Deferred Sales Charge (CDSC) Accounting

We offer a lot accounting facility for tracking the age of investments and their associated CDSC liability.

Check Purchase Processing

Our system automatically links checks with the source documents to be presented for processing ensuring a new account and purchase transaction are processed successfully before funds are deposited.

Check Writing

We fully support automated processing of check writing redemptions from shareholder accounts and interface with numerous banking institutions to accommodate check writing processing.

Cost Basis Reporting

We fully support the 2012 IRS regulations for cost basis reporting with all options available to the shareholder.

Distributions

We support multiple distributions which include: capital gains, stock dividends and splits, return of capital, special distribution, special taxable distributions, foreign tax credits, and reverse stock splits.

Front-End Load Fund Pricing and Commissions

We support all aspects of the traditional front-end load fund. Schedules can exist at the fund, financial institution, branch, representative, account, cumulative discount number, and social code levels.

Group Purchase Processing

The group purchase feature can be used to update and query various such purchase plans, including payroll deduction profit sharing, pension, thrift, 403(b), or 401(k) plan purchases.

Market Timing Monitoring

Our system monitors the number of exchange and/or redemption transactions permitted per account within a selected time period to help deter or limit shareholders and representatives from attempting to time the market.

Reporting

We make available thousands of reports to assist in the managing of a transfer agency operation, in addition to ad hoc reporting tools based on specific business needs.

Systematic Transactions

Our system supports automated systematic purchase, redemption, and exchange processing.

Tax Reporting and Compliance

We support an array of federal and state tax reporting including tax forms and media, withholding, RMD, escheatment and lost shareholder tracking, cost basis, suspicious activity identification, anti-money laundering, and customer identification program tracking.

Trail Commission Processing

Our system stores all the necessary information for tracking, aging, paying, and researching trail commissions.



Business Process Management/Workflow

Our business process management solution is tightly integrated with our recordkeeping platform.  Designed to enable you to increase efficiency, deliver superior customer service, reduce risk and increase knowledge of and visibility into operations, our solution electronically routes work associated with documents, phone calls, faxes, and other sources throughout your organization.

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Comparison Reconciliation

We offer a fully integrated automated reconciliation feature that performs an internal proof consisting of balancing shareholder transactions processed during the nightly cycle to the summarized activity on financial reports and interfaces used by the fund accounting and custodian groups.

Customer Communications

Our integrated print and electronic statement and billing output solutions, including customized statement and bill production, direct marketing and personalization services, fulfillment, postal optimization, and electronic presentment, payment and distribution solutions are designed for any company that places a premium on accurate, timely and quality customer communications.

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Desktop Interface

Our desktop interface provides a single entry point and seamless management of the processing environment. Enhanced usability offers customization to increase productivity and quality servicing.

Electronic New Account Opening

Our solution is designed to modernize the new account process by reducing paper-driven applications, improving compliance oversight, reducing postage costs, and expediting new account establishment.

External Interface Package

Clients and third parties, such as broker-dealers, can submit and receive transaction and account information through our own external interface service. Given the vast number of fund families using DST, these formats are de facto industry standards accepted by most brokers, banks and third-party administrators.

Financial Intermediary Administration

In collaboration with Boston Financial, we offer customized services that assist fund companies in the management and oversight of their intermediary relationships. Our solution provides intermediary data and relationship information, improves intermediary payment administration, and simplifies inspection and monitoring obligations. We help fund companies understand and track key aspects of their financial intermediary relationships through one portal.

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Intermediary Tracking and Servicing

We offer an intermediary relationship management solution that helps track and service financial advisors across transfer agent and sales organizations. The data aggregation and scrubbing service provides financial intermediary profiles and reconciles trades and asset positions from various recordkeeping, subaccounting, and supermarket platforms.

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IT Sourcing

Our information technology outsourcing solution includes application development, support and testing, data and information management, application modernization, infrastructure management, and consulting services.

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Omnibus Transparency

Our data aggregation and analysis has been designed to assist fund families with prospectus compliance and intermediary oversight responsibilities related to subaccounting agreements.

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Proxy Services

Our full-service proxy solution – designed exclusively for DST’s mutual fund clients – brings together enterprise-wide investor services, technology, transaction automation, and print/mail expertise to offer the only completely secure, single-source, full-service proxy solution.

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Records Management

Our reliable and secure electronic system for long-term records management allows for the capture, indexing, storage and retrieval of important records according to your unique business requirements.

Same-Day Cash Management

Our system provides access to timely and accurate cash flow information, at the same time allowing transfer agents to accumulate and disseminate time-critical information in an automated fashion.

Sales Analytics

Our business intelligence solution provides in-depth insight into a company’s share of flows and assets compared to competing investment products at the firm, office, and advisor levels.

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Voice

Our robust Interactive Voice Response (IVR) feature is flexible, simple to use, and easy to customize.  Designed for the shareholder, participant and financial intermediary, the voice feature is integrated with our core recordkeeping platform in real-time, offering immediate update and information retrieval capabilities. We support one of the largest voice response products in the financial services industry, annually assisting millions of callers.



We provide solutions that can become a single, consistent, reliable source of customer data as it integrates with:  

  • Strategies that support your product mix and lines of business
  • The processes that support them
  • Seamless experiences for your investors, participants, and intermediaries
  • Effective regulatory and compliance programs

Our platform supports the seamless delivery of integrated and efficient service across your organization, lines of business and distribution channels. 

Desktop Access

Our user interface provides navigation across core platform functions, our business process management solution, and third-party applications.

Business Process Management

Our BPM solution is tightly integrated with front-end interfaces to our core recordkeeping platform, and electronically routes work associated with documents, phone calls, faxes, and other sources through an organization. This means you have complete control over the step-by-step process, as well as the capability to make changes to the workflow easily and dynamically in a real-time environment.

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Business Intelligence

Our core platform solution is designed to help ensure that accurate and timely investor and intermediary information is available for learning, planning and oversight -- including smarter ways to track advisors, access sales information, understand market share, and manage trade resolutions. Asset managers rely on our solutions to provide greater transparency to branch and rep information, improved sales and asset reporting, and compliance analysis on data from multiple recordkeeping sources.

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Compliance

Our core platform supports the tracking and monitoring of unusual activity, customer identification program verification, cash equivalent reporting, and activity comparisons with various infractions lists. Our system also provides the ability to designate when a trade is considered to be entered after market close.

Customer Communications

Our single-source, integrated print and electronic statement and billing output solutions include customized statement and bill production, direct marketing and personalization services, fulfillment, postal optimization and electronic presentment, payment and distribution functions.

Intermediary Access

Our intermediary solutions provide efficient and low-cost access to information from our core platform. Solutions are designed to support a variety of business needs - from back - office personnel, to advisors, to management with access to real-time information and interactive tools built on a proven infrastructure and self-servicing functionalities.

Shareholder Access

Our solution provides shareholder access to account information through websites and mobile devices and integrates with commercial investment management and tax preparation software, linking people and technology in a secure, online environment. Through our voice solution, integrated with the core platform in real-time, shareholders can also retrieve account information and process transactions 24 hours a day.

Tax Reporting

Our core platform supports federal and state tax reporting. You and your shareholders can choose from cost basis accounting methods and we support systematic calculation and recalculation of life expectancy-based information for retirement accounts.



There are few, if any, solution providers that can approach our regulatory and compliance core strengths and market leadership. Risk management controls and data security are a critical component of our service delivery. Integrating risk management into the ongoing development of products and solutions helps ensure that, as you grow, the protections that support your business grow as well.

Well-developed compliance processes, specific operating procedures, business contingency strategies, data confidentially provisions, and advanced data back-up and recovery procedures help us systematically mitigate risk across our environment.

Because we remain at the forefront of new regulatory requirements and standards, we are uniquely positioned to advocate on behalf of our clients and inform them of progress so they can better understand and interpret the marketplace.


Solutions for the Retail Alternatives MarketAlternative Support

Managing new investors, new assets and new transactions 

Even the savviest fund company can be overwhelmed by the challenges that come with entering the retail alternative investment market. Well-designed alternative products may attract the interest of advisors and investors, helping to boost fund growth — but this growth in assets along with hundreds or thousands of new investors can substantially increase the complexity of a fund’s service needs. The range of requirements for a registered fund includes a retail distribution channel, regulatory and compliance reporting and a full investor servicing capability. Managing these — and other —demands can quickly shift resources away from your company’s core business. 

Shareholder Servicing

DST provides a scalable model to handle investor servicing needs. 

Traditional shareholder recordkeeping platforms can be suitable for the registered or mutual fund market, but are not designed to handle the demands of alternative products. Similarly, many technologies for the alternative market can’t easily scale for the large number of investors required in a retail environment. The best result is a platform that can combine the benefits of both into a single, automated solution.

Shareholder servicing has many facets. From data collection and retention, to reporting and daily customer communications, DST’s Alternative Fund Solutions have a model to handle your investor servicing needs, including:

  • Subscriptions
  • New Account Establishment
  • Redemptions / Withdrawals
  • Tenders
  • Activity Files
  • Corporate Actions
  • Tax and Reporting
  • Investor e-Servicing
  • Retail Compliance (KYC, AML, CIP)
  • Compliance / Risk Management

Distribution

The key to your success in the retail markets and growing assets under management is a strong distribution platform.

DST provides the path to get your product on the advisor desktop. DST also has business intelligence and automated interfaces to broker-dealers. This visibility and accessibility is vital to reaching investors and expanding your fund's distribution. Through ALPS, Inc., a DST Company, we offer medallion distribution and broker-dealer services for licensing, training and selling agreement maintenance. Our complete distribution suite spans:

  • Advisor Self-Servicing Tools
  • Advisor and Broker-Dealer Distribution
  • Distribution Intelligence and Reporting
  • Advisor Licensing
  • Automated Data Connectivity to Broker-Dealers
  • Regulatory Assistance and Support
  • Selling Agreement
  • Sales / Advertising Filings Review

Full-Service Support

DST gives fund managers a comprehensive set of services to help you address the challenges of retail growth.

If you are launching a fund, or have an existing fund but would like a provider with a complete set of capabilities, DST’s full-service solution can meet your needs. With robust technology and a team of experts, we offer the following:

  • Fund Accounting
  • Fund Administration
  • Shareholder Servicing
  • Compliance
  • Legal
  • Medallion Distribution
  • Series Trust Solution
  • Tax Administration
  • Start-up Consulting
  • Customer Communications
  • Marketing and Creative Services
  • Tender Offer Services

Solutions

Adapt to the changing needs of the alternatives marketplace with a trusted service provider.

Using the knowledge and insight we’ve gained from decades of experience in financial services, we have helped fund companies of all sizes more easily adapt to the changing demands of the alternative marketplace. Our scalable service model can be tailored to the exact set of services your business will require as it grows. The list of alternative investment products our technology and service solutions support includes:

  • Business Development Corporations
  • Closed-End Funds
  • Closed-End Series Solution
  • Fund of Funds
  • Hedge Funds
  • Hedge Fund of Funds
  • Managed Futures
  • Master Feeder Funds
  • Non-Traded REITs
  • Traded REITs
  • Private Equity
  • Retail Hedge Funds

To learn more about ALPS, Inc. please visit their website.



Portfolio and investment operations managers offering multi-fund investments are faced with sharp increases in the volume of trades and trade settlement support activity. To ensure consistency and minimize risk, you need to address these challenges in order to sustain margins and ensure service quality.

Our OpenPFA solution is an open system platform designed to help solve today’s multi-fund investment challenges with portfolio management, trading and settlement operational issues. Our solution supports Mutual Fund Wraps, Fund-of-Funds, Target Date Funds and Collective Investment Trusts and provides:

  • Automated processes for allocations and multi-fund trading
  • Synchronization of fund trade dates with underlying fund allocation trade dates
  • The ability to support both proprietary and non-proprietary underlying funds
  • Fund trades and allocation net settlement
  • NSCC and non-NSCC trading support
  • Powerful web services for investors and advisors
  • Flexible service options for supporting operations, investment management, and investor/advisor servicing

OpenPFA is designed to help investors, advisors, asset managers and investment operations specialists solve today’s multi-fund investment challenges. The solution leverages several of DST’s industry-leading solutions, including:

  • Our core recordkeeping platform, TA2000
  • Our business process management solution, AWD
  • Omnibus trade processing solutions
  • NSCC Fund/SERV processing
  • Our allocation and rebalancing engine, HiInvest
  • Ad hoc reporting tools
  • DST’s world-class data center infrastructure
  • Business continuity and disaster recovery

The integration of these solutions provides the following benefits:

  • Increased tracking efficiency
  • Improved data consistency
  • Improved rebalancing
  • Expanded options for increased portfolio effectiveness
  • Automation to reduce manual trading and settlement
  • Risk mitigation through automation and systematic processes
  • Reduced mismatched trade dates

Our clients rely on world-class data center management and disaster recovery services for fast, available and secure information processing. DST’s data centers are manned 24x7x365 with highly trained personnel who monitor and maintain our physical and logical environments, in addition to providing onsite computer operations and systems engineering staff to meet our client’s processing needs.

LEARN MORE about DST’s state-of-the-art data centers in our About DST section.




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