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If you’ve ever wondered whether a startup can go head-to-head with legacy providers in the capital markets, look at the people behind the platforms.
Modern infrastructure isn’t just about speed and scale, it’s about trust. Especially in capital markets, where platforms hold sensitive financial and personal data, the bar for identity, security, and compliance isn’t just high, it’s fundamental.
In the rush to get IPO-ready, companies often zero in on new systems, tools, and workflows. But the real test comes behind the scenes, in whether the team has the knowledge and operational depth to deliver when it counts.
The last few decades have seen little in the way of capital markets innovation. The systems that support our economy remain largely unchanged, and the institutions that maintain them often move too slowly to keep up with the pace of technological advancements.
Former JP Morgan Vice President Joe Conte joins the company as Head of Partnerships, rounding out the executive team
Publicly traded companies are subject to stricter standards and must operate under the watchful eye of regulators. Most companies hire a number of vendors to handle non-core administrative and regulatory tasks. In the United States, every publicly traded company is required to retain (or themselves be) a Transfer Agent to manage their shareholder register. Transfer Agents play a crucial role in keeping their clients compliant. Their responsibilities are broad-sweeping, including shareholder management and communication, restricted and unrestricted stock transactions, dividend distribution, regulatory compliance, and corporate actions. Anything that impacts the shareholder register begins and ends with the transfer agent.
As the IPO window swings back open, excitement is building around companies gearing up to go public. Big names like Klarna, eToro, Chime, and Circle are among the contenders getting ready to take the leap. Although an IPO is usually a moment to celebrate, it often comes with logistical headaches and operational challenges.
Modern Transfer Agency
