X0405 TA-1/A 0001809901 XXXXXXXX 084-06720 true LIVE SEC Computershare Investor Services Ltd 366633 46 Floor Hopewell Centre 183 Queen' Road East Wanchai K3 00000 N 85228628534 Y 17/F and 17/M Floor Hopewell Centre 183 Queen's Road East Wanchai K3 00000 36 Floor Tower 2 MegaBox, Enterprise Square 5, 38 Wang Chiu Rd Kowloon Bay, Kowloon K3 00000 N Y Computershare Inc 084-05925 150 Royall Street Canton MA 02021 N Corporation Chee Ping Yap 06/04/2020 Chief Executive Officer NA true 11/26/2021 Yim Lan Phyllis Lee 06/04/2020 Managing Director Registry Services NA true 12/28/2021 Sui Lut Richard Houng 06/04/2020 MD Head Ops & Interim Head Issuer Svcs NA true Chi Kong Cheung 06/04/2020 Director Head Rsk Mgt & Compliance NA true Cheuk Fong Chan 06/04/2020 Chief Financial Officer Asia NA true Siu Yuk Paulina Lam 06/04/2020 Head of People NA true 11/30/2020 Aaron D'Souza 06/04/2020 Interim Head of Service Ops NA true Computershare Hong Kong Investor Services Limited 06/04/2020 Direct Owner E true ACN 081 035 752 Pty Limited 06/04/2020 Indirect Owner E true Computershare Limited 06/04/2020 Indirect Owner E true N N N N N N N Y Computershare Trust Company of Canada, Inc. In the Matter of Computershare Trust Company of Canada Inc. 04/18/2006 U.S. Securities and Exchange Commission Without admitting or denying the findings, on April 18, 2006 Computershare Trust Company of Canada, Inc. (CTCC), agreed to settle an administrative action by the SEC in which it was ordered to cease-and-desist from violations of Sections 15(b) and 17A(c) of the Securities Exchange Act of 1934. See, In the Matter of Computershare Trust Company of Canada Inc., Administrative Proceeding 3-12265, Securities Exchange Act Release No. 53668 (April 18, 2006). The proceedings related to CTCC's failure to register with the SEC as a U.S. transfer agent and a U.S. broker-dealer. As part of the settlement, CTCC was ordered to disgorge profits, including prejudgment interest, of $601,868.71 attributable to certain of its services associated with the U.S. during the period from June 2000 to April 2004 when it became registered as a U.S. Transfer Agent, as well as a fine in the amount of $500,000. At the same time, the SEC issued a conditional exemption to permit CTCC and its affiliate, Computershare Investor Services, LLC, to continue to provide plan services to U.S. residents without registering as a U.S. broker-dealer in accordance with Section 15(b). Exchange Act Release No. 53667 (April 18, 2006). See above. Georgeson Shareholder Securities Corporation (GSSC) N/A 02/27/2004 U.S. Securities and Exchange Commission Violation of Rules 17a-3(1) and (a)(2) and (a)(11); and Rule 17a-5(a)(2). 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. N Y Registrar and Transfer Company and Thomas L. Montrone In the Matter of Registrar and Transfer Company and Thomas L. Montrone. 09/23/2014 U.S. Securities and Exchange Commission 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. 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 violations of Section 5. N N N N Y Georgeson Shareholder Securities Corporation (GSSC) N/A 12/06/1999 Minnesota Department of Commerce Withdrawal of broker-dealer application Ordered pursuant to State Statute Section 80A.05 subd.1 (1994) that GSSC's application for broker-dealer be withdrawn since the application was pending with the department with no activity for 120 days. N N Y Computershare Securities Corporation Letter of Acceptance, Waiver, and Consent (AWC) 02/13/2006 National Association of Securities Dealers Regulation, Inc. 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) See Above. Georgeson Securities Corporation CRD 46749, New York, New York NASD Case 2006004077101 07/10/2007 National Association of Securities Dealers 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. See Above. Georgeson Securities Corporation CRD 46749, New York, New York FINRA Case 2009016205701 01/21/2011 Financial Industry Regulatory Authority 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. See Above. Georgeson Securities Corporation CRD 46749, New York, New York FINRA Case 2016050194001 12/21/2016 Financial Industry Regulatory Authority 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 of the action or the claim: 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. N N N Y Georgeson LLC (GLLC) U.S. District Court of Massachusetts Docket Number 17CR-10367 11/30/2017 U.S. District Court of Massachusetts 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. 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. N N Chi Kong Cheung 852-28628520 Director Head of Rsk Mgt & Compliance 01/21/2022