Capital Transfer Agency FAQs

How do I register for Account Access?

Securityholders who want access to view their holdings online can contact our office. One of our relationship managers will provide a login and password. Securityholders will have access to view their registered holdings any time, 7 days a week.

I Need a Medallion Guarantee. Where do I Get One?

A medallion guarantee may be obtained from a broker-dealer, some Canadian banks and most US banks, a clearing agency, savings association, or other financial institution which participates in a recognized Medallion program such as STAMP, SEMP or MSP.

I am a Registered Shareholder. How do I update my address?

Registered shareholders may update their address by completing the Account information form and returning it to us at anytime.

How do I Deposit my Shares and Obtain a DRS Position?

If you are a security holder holding physical certificates and wish to obtain a DRS statement you may return your physical certificates to us; along with a completed DRS Request form and we will email you a DRS statement for your shareholdings.

How do I transfer my shares to someone else?

If you wish to transfer your securities to another individual or corporation, complete the securities transfer form, following instructions on obtaining a medallion or signature guarantee and return the documents to us, including payment. We will complete the transfer upon your request

Where can I find AGM/ASM information and documents?

We post all required AGM/ASM information and documents on our website. Please click HERE.

What assistance will I get with my Annual Meeting?

In a word, complete. Prior to your meeting, we will contact you and provide you with all the requirements for your meeting and set up a timetable of events. We understand the importance of the meeting and will leave nothing to chance.

Among the services we can provide are:

  • a record date listing of shareholders eligible to vote
  • broker search to determine the number of street-name holders of your stock
  • broker fulfillment to be certain sufficient sets of your annual meeting materials are in the hands of the brokers
  • mailing services to registered holders
  • tabulation services to ensure an accurate independent tally
  • inspector of election services should you feel an independent party should be present at your meeting

What is Broadridge's role in the voting process?

Brokers are obligated to pass annual materials, including a proxy, to all of their clients holding stock in your company. To accomplish this, most hire Broadridge. Broadridge will obtain the appropriate number of sets of materials and forward them to the street-name holders. Voted proxies are returned to Broadridge which tabulates the vote and forwards this to the transfer agent for inclusion with the other votes being gathered for the Meeting. Broadridge will present the company with a separate bill for its forwarding services.

How do I become eligible for the book-based system?

The book based system is the term used for the shares that are traded between brokers and other financial institutions within a common depository. The Canadian Depository for Securities (“CDS”) maintains the book based system in Canada and for a security to become eligible the security must have an ISIN number and be transferable in physical form by a CDS eligible transfer agent in a city where CDS has an office. There are other informational requirements and for further information contact the Eligibility Coordinator, Corporate Changes at CDS.

What is CDS?

The Canadian Depository for Securities Limited is Canada’s national securities depository, clearing and settlement hub. CDS supports Canada’s equity, fixed income and money markets, handling over 50 million securities trades annually. CDS settles over 13 million cross-border transactions with the U.S. annually and has custodial relationships with the Depository Trust Company, Japan Securities Settlement & Custody Inc. and Euroclear France.

What is DTC?

Depository Trust Company (DTC) is basically an electronic storage and clearing house for securities. A large portion of the stock held in street name is held by DTC in electronic or “book” form, registered under the nominee name of CEDE & Co. You will find that upwards of 70% of your stock will be held in street name and much of this will be registered as CEDE. DTC provides the banks, brokerage firms and other institutions with an efficient means of moving securities and settling trades electronically.

What information will I have to provide the Transfer Agent prior to an Offering?

CTA will need the basics. Among the items you should be prepared to provide are:Issuer Name

  • Issuer Name
  • Address and telephone number for corporate contact
  • The underwriter(s) and/or corporate counsel
  • Information related to the security such as the CUSIP number,  exchange listing and symbol and information about the offering; including the effective date, the price range and the closing location. If there are selling shareholders we will need complete information on these. We can assist you with many of these items and we are very pleased to address your questions.

What is DTC eligible and how does my company achieve this status?

DTC or Depository Trust Company is the American equivalent to CDS and operates the book-based system in the United States. They have similar eligibility requirements to CDS.

What is a registered owner?

The registered owner of shares is the shareholder of record on the books of the corporation, generally kept by the transfer agent. The registered owner may be an individual, a trust, a broker, etc. Registered owners receive communications, proxies, dividends, etc. directly from the corporation through the transfer agent. A registered owner differs from a “street name” owner.

What does the company need to do when we have a change in directors/officers?

Advise us immediately of any change to the directors and officers of the corporation. This document provides us with a clear direction as to who can act on behalf of the company. The company can advise us of any changes to the list by executing and mailing a Certificate of Incumbency and a Certified List of Officers and Directors.

What are my company's obligations in providing information to its shareholders?

The following must be provided to shareholders:


Notice of the time and place of meeting
Form of proxy
Information circular, the contents of which will be dictated by the nature of the business to be brought before a meeting.

Y/E Financial Statements


Quarterly financial statements, unless a supplemental mailing list request form has been supplied to all shareholders, in which case, only those shareholders who reply are required to receive statements.

Other documents may be required to accompany the above, depending on the jurisdictions in the company is a reporting issuer.

What happens if a shareholder loses a stock certificate?

The shareholder should contact our office. We will place a “stop” on our records to prevent the certificate from being transferred. We will also supply the shareholder with the forms required for obtaining a replacement certificate. A surety bond will be required. The shareholder will have to pay a premium for this bond; the cost is generally 3% of the value of the certificate lost.

What is street name?

Securities held in a broker account and registered in the name of the broker or other institution is referred to as being “in street name.” As the manager of a public company, you will see the broker, for example, as the registered shareholder of your stock. One broker position will represent any number of individual owners (beneficial owners), most of whom will remain anonymous to you.

What is a CUSIP number?

CUSIP stands for Committee on Uniform Securities’ Identification Procedures. A CUSIP number specifically identifies a particular security. This number is particularly important within the broker community in that brokers make all identification of securities by the CUSIP number. All issuers are required to obtain a CUSIP for each security issued.

How will I know who are my shareholders are?

As your transfer agent, we will keep a current listing of your shareholders of record and their ownership positions. We will update this daily based upon transfer requests processed and other file maintenance information we receive, such as address or name changes.

How do I register for Account Access?

Securityholders who want access to view their holdings online can contact our office. One of our relationship managers will provide a login and password. Securityholders will have access to view their registered holdings any time, 7 days a week.

Understanding SEDAR Filings

How do I become a SEDAR Filer?

Follow the link below to the SEDAR Filing Service Subscriber page. Once you have entered, select “SEDAR Information Package” to download the forms needed to become a SEDAR Filer. Once the forms are completed, they must be returned to the SEDAR Filing Service Contactor.

Becoming a SEDAR Filer

What is XBRL (AKA Interactive Data)?

XBRL stands for ‘eXtensible Business Reporting Language’ and is used to communicate financial and business data electronically. For a more in depth explanation follow the link to the CSA explanation below.


Who can authorize a filing on behalf of a company?

Generally, Directors and Company Counsel are authorized parties to approve SEDAR Filings. If you would like to update your company information please contact Pacific Stock SEDAR Services for a File Authorization Form to identify who is authorized to approve SEDAR filings.

More than just a transfer agent. We provide customized solutions for your business.