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MIMICS Bond Paying Agent & Transfer Agent System Overview

MIMICS Bond Paying Agent & Transfer Agent System handles the everyday processing for the registrar, paying agent, and transfer agent. The paying and transfer agent functions for bonds are becoming more and more complex as the features of the instrument are expanding. We developed this system to organize and simplify the processing requirements. We know issues like foreign ownership, puts, calls, floating rates, and varied payment schedules can further complicate matters. The system will handle the complex processes as well as some of the more basic needs, such as printing and inventorying certificates, printing checks, and reporting to appropriate taxing authorities. The system comes equipped with a foreign currency converter which accommodates foreign ownership.

New subscriptions and issues are handled with ease. For instance, a new issue is added to the system and is identified by CUSIP, ISIN or a generic identification number. The amount of authorized par and number of authorized certificates are entered for inventory purposes. Each issue can be set up with a user-defined "template" that defines the format of your certificates and receipts. Each bond has its own call and put schedules. You simply enter all relevant call and put dates, and the system will monitor the list for the appropriate dates. A call for a specific bond can either be partial or for the full issue.

The system can handle any permutation of bond transfers. Full or partial blocks from multiple holders can be sold (transferred) to multiple holders. The form of the new issuance can be certificate, book entry, or even a combination. The information regarding the transfer can be printed on the transfer journal, or can be viewed on the screen.

The system processes interest payments for both fixed rate and floating rate bonds. It monitors the record date to assure that only bondholders of record receive the interest. A variety of payment schedules are accommodated, as well as a choice of interest calendars. Interest can be compounded on any schedule.

A full history of all transactions is maintained automatically, and the resident report writer allows the review of activity within any parameter defined. Included in the report writing is the use of multiple user-defined fields that are captured by the system. In addition, the system has the ability to maintain information by groups of investors, to write and print reports to file, to utilize multiple printers, and to provide password access for multiple levels. The system has on-line Help and pop-up boxes for assistance in making entry selections.

MIMICS Bond Paying Agent & Transfer Agent System integrates with the MIMICS Stockholder Accounting System to allow you to handle both stock and bonds with the same ease and convenience. Convertible bonds on this system can be automatically converted to stock on the Stockholder Accounting System. The list goes on. The MIMICS Bond Paying & Transfer Agent System can grow with your needs. There is no software limit to the number of holders or issues you can maintain, and the system can run multi-user on a network.

If you would like more information about our products and services, please fill out an online form or send us an email.

Product Features
Major Functions
  • Registrar
    • Paying Agent
      • Transfer Agent
        • New Bond Issues
          • Unlimited Number Of Issues
            • Issues Identified By CUSIP, ISN, other
              • Accounts For Authorized Par
                • Book Entry or Certificate Form
                  • Convertible Bond Coversion Features
                    • Accounts For Authorized Certificates
                      • Tracks Lost, Stolen, or Destroyed Shares
                        • Certificate Templates Assigned By Issue
                          • Receipt Templates Assigned By Issue
                            • Holders
                              • Maintains Name & Address
                                • Different Holders & Payees Allowed
                                  • W9s & W8s Tracked For Holder
                                    • System Manages Backup Withholding
                                      • Demographic Data Recorded
                                        • Specified Currency Statements for Holder
                                          • Bond Issuance
                                            • Bonds Issued To Any Number Of Holders
                                              • Amount Of Par Issued Updated Real-Time
                                                • Certificates Printed Updated Real-Time
                                                  • Issued in Book Entry or Certificate
                                                    • Re-issue Lost, Stolen, Destroyed Shares
                                                      • Prohibit Issuing Par Beyond Authorized Amount
                                                        • Each Issue Has Its Own Certificate
                                                          • Each Issue Has Its Own Receipt Format
                                                            • Each Issue Has Complete Call Schedule
                                                              • Each Issue Has Complete Put Schedule
                                                                • Security Retained By:
                                                                  • CUSIP
                                                                  • ISN
                                                                  • BIC
                                                                  • Common Code
                                                                  Transfers
                                                                  • Transfer Bonds From Unlimited Number Of Holders
                                                                    • Transfer Bonds To Unlimited Number Of Holders
                                                                      • Transfer of Partial Holdings Allowed
                                                                        • Partial Blocks Transfer
                                                                          • Whole Blocks Transfer
                                                                            • Only Available Amount May Be Transferred
                                                                              • Interest
                                                                                • Interest Paid According To Payment Schedule
                                                                                  • Monitors Record Date
                                                                                    • Monitors Ownership Date
                                                                                      • Monitors Payment Date
                                                                                        • Fixed or Variable Rates Available
                                                                                          • Rates Can Be Pegged To Other Rates
                                                                                            • Tracks Number Of Interest Periods
                                                                                              • Checks Printed For Interest
                                                                                                • Direct Deposit to DDAs
                                                                                                  • Cancellations
                                                                                                    • Cancellation Checks
                                                                                                      • Reason For Cancellation
                                                                                                        • Cash Contributions
                                                                                                          • Allows Cash Contributions
                                                                                                            • Tracking
                                                                                                              • Tracks Percentage Owned By:
                                                                                                                • Group & Individual
                                                                                                                Maturities
                                                                                                                • Automatic Processing Of Maturities
                                                                                                                  • Easy Processing Of Calls & Puts
                                                                                                                    • Checks Printed for Principal Amounts
                                                                                                                      • Direct Deposit for Principal Amounts
                                                                                                                        • Limit Cash Contributions to the Plan
                                                                                                                          • Limit Cash Withdrawal Per Plan Per Year
                                                                                                                            • Limit Withdrawals Per Plan Per Year
                                                                                                                              • Electronic Contributions Through Payroll Deduction
                                                                                                                                • Fees For Early Withdrawal Prior to Vestiture
                                                                                                                                  • User-Defined Features
                                                                                                                                    • Customization Through Simple Menu
                                                                                                                                      • Supports:
                                                                                                                                        • Multiple Printers
                                                                                                                                        • Printer Ports
                                                                                                                                        • Printer Feature
                                                                                                                                      • Fields For Addiitonal Information
                                                                                                                                        • Fields For Sorting & Reporting
                                                                                                                                          • General Features
                                                                                                                                            • Embedded Text Sensitive Help
                                                                                                                                              • Foreign Processing
                                                                                                                                                • Foreign Currency Conversion
                                                                                                                                                  • Handles Foreign Issues
                                                                                                                                                    • Foreign Government Reporting
                                                                                                                                                      • IRS Reporting
                                                                                                                                                        • 1099 Tickets Prepared & Printed
                                                                                                                                                          • Electronic 1099 Reporting
                                                                                                                                                            • Tax Reporting For Other Countries
                                                                                                                                                              • Backup Withholding
                                                                                                                                                                • Historical Reporting
                                                                                                                                                                  • Detailed Transaction Activity
                                                                                                                                                                    • Activity For Statements
                                                                                                                                                                      • Security & Audit
                                                                                                                                                                        • Multi-Level Passwording
                                                                                                                                                                          • Passwording By Menu Item
                                                                                                                                                                            • Password Expiration
                                                                                                                                                                              • Complete Chronological Audit Trail
                                                                                                                                                                                • On-Board Report Writer Features:
                                                                                                                                                                                  • Easy To Use Columnar Reporting
                                                                                                                                                                                    • Free Form Statement Type Reports
                                                                                                                                                                                      • Mathematical Calculations
                                                                                                                                                                                        • Multiple Line Item Reporting
                                                                                                                                                                                          • File Export To Other Packages
                                                                                                                                                                                            • SQL Statements
                                                                                                                                                                                              • Form Printing
                                                                                                                                                                                                • User-Defined Certificates
                                                                                                                                                                                                  • User-Defined Receipts
                                                                                                                                                                                                    • User-Defined Check Format
                                                                                                                                                                                                      • User-Defined Proxy Labels
                                                                                                                                                                                                        • User-Defined Mailing Labels
                                                                                                                                                                                                          • Standard Reporting Includes:
                                                                                                                                                                                                            • New Issuance
                                                                                                                                                                                                              • Transfers
                                                                                                                                                                                                                • Interest Payments
                                                                                                                                                                                                                  • Maturities
                                                                                                                                                                                                                    • Called Bonds
                                                                                                                                                                                                                      • Put Bonds
                                                                                                                                                                                                                        • Cancellations
                                                                                                                                                                                                                          • Security List
                                                                                                                                                                                                                            • Issuer List
                                                                                                                                                                                                                              • Bondholder List
                                                                                                                                                                                                                                • Projected Interest
                                                                                                                                                                                                                                  • Projected Interest with Wire Instructions
                                                                                                                                                                                                                                    • Projected Maturities
                                                                                                                                                                                                                                      • Check Register
                                                                                                                                                                                                                                        • Interest Accrual Report
                                                                                                                                                                                                                                          • Holder/Payee Report
                                                                                                                                                                                                                                            • Inactive Account List
                                                                                                                                                                                                                                              • Customer History
                                                                                                                                                                                                                                                • Interfaces
                                                                                                                                                                                                                                                  • GL/DDA Export
                                                                                                                                                                                                                                                    • DDA Import


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