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Denver Office
1290 Broadway #1100
Denver, CO 80203
(303) 623-2577 |
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Seattle Office
11747 N.E. First St. #202
Bellevue, WA 98005
(425) 454-3770 |
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Boston Office
99 High St. #303
Boston, MA 02110
(617) 426-1170 |
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New York Office
1225 Franklin Ave. #325
Garden City, NY 11530
(516) 998-3067 |
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| Registrar and Transfer Agency |
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| ALPS Price Meadows performs Registrar and Transfer Agency (RTA) services for the offshore funds it administers. Our RTA services involve the processing of shareholder subscriptions/redemptions and the maintenance of the shareholder register, compliance with anti-money laundering regulations and the implementation of controls relating to certain of the fund’s treasury functions. |
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| Treasury Controls |
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| ALPS Price Meadows is not a bank and does not provide banking, custodial or lending services. Rather, ALPS Price Meadows - as an independent “third-party” service provider - assists the fund in establishing appropriate banking facilities. Shareholder subscription funds and redemption payments are made directly to and from a non-affiliated bank, with ALPS Price Meadows actively involved in the system of controls and accounting of fund receipts, disbursements and wire transfers. |
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| Shareholder Register |
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| In accordance with the fund legal documents, ALPS Price Meadows establishes and maintains the shareholder register and carries out the issuance and redemptions of all classes, sub-classes and series of authorized fund shares. In that process, all investor subscription applications and requests for redemptions are sent directly to and are processed by ALPS Price Meadows – subject also to approval by the fund’s directors. |
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| Anti-Money Laundering Procedures |
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| It is the policy of ALPS Price Meadows to comply with all relevant anti-money laundering laws and regulations and to use our best efforts to detect, prevent and deter money laundering, terrorist financing and related illegal activities. AML laws and regulations require the reporting of transactions involving currency and certain monetary instruments; they also include the reporting of suspicious activity. This policy mandates that we accept capital contributions only from legitimate, vetted investors. Accordingly, ALPS Price Meadows has established procedures designed to verify investor identity and perform certain checks on names and money sources. |
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| ALPS Price Meadows provides confirmations of subscriptions and redemptions to investors via email. Once the AML requirements have been fulfilled, the acceptance letter is prepared and sent to the subscriber. The process is normally completed within five business days for subscriptions. Redemption requests will generally be acknowledged within two business days, with distributions carried out by the fund according to procedures as outlined in the fund’s legal documents. |
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