Form TA-1/A BROWN BROTHERS HARRIMAN

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February 24, 2017 4:22 PM EST
 
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM TA-1
 
OMB Approval
OMB Number:      3235-0084
Estimated average burden hours per response …... 2.00
UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR AMENDMENT
TO REGISTRATION PURSUANT TO SECTION 17A OF THE
SECURITIES EXCHANGE ACT OF 1934
 
GENERAL:
 
Form TA-1 is to be used to register or amend registration as a transfer agent with the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the Securities and Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934.
Read all instructions before completing this form.  Please print or type all responses.
 
Form Version 3.4.0
1(a). Filer CIK:
0001227021
1(c). Live/Test Filing? Live                  Test             
1(e). Is this filing an amendment to a previous filing? Yes
1(e)(i). File Number: 084-06072
2. Appropriate regulatory agency (check one) :
 Securities and Exchange Commission
 Board of Governors of the Federal Reserve System
 Federal Deposit Insurance Corporation
 Comptroller of the Currency
 Office of Thrift Supervision
3(a). Full Name of Registrant:
Brown Brothers Harriman & Co.
3(a)(i). Previous name, if being amended:
3(b). Financial Industry Number Standard (FINS) number:
269159
3(c). Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i). Address 1
50 Post Office Square
3(c)(ii). Address 2
3(c)(iii). City
Boston
3(c)(iv). State or Country
MA
MASSACHUSETTS
3(c)(v). Postal Code
02110
 
3(d). Is Mailing address different from response to Question 3c?
If "yes," provide address(es):
     Yes       No
            
3(e). Telephone Number
     (Include Area Code)
617.742.1818
4. Does registrant conduct, or will it conduct, transfer agent activities at any location other than that given in question 3c above?
If "yes," provide address(es):
     Yes       No
            
 
4(a)(i). Address 1
185 Hudson Street
4(a)(ii). Address 2
Suite 1150
4(a)(iii). City
Jersey City
4(a)(iv). State or Country
NJ
NEW JERSEY
4(a)(v). Postal Code
07311
4(a)(i). Address 1
For non-qualifying securities
4(a)(ii). Address 2
30 Herbert Street
4(a)(iii). City
Dublin 2
4(a)(iv). State or Country
L2
IRELAND
4(a)(v). Postal Code
4(a)(i). Address 1
For non-qualifying securities
4(a)(ii). Address 2
80, Route D'Esch
4(a)(iii). City
L-1470 Luxembourg
4(a)(iv). State or Country
N4
LUXEMBOURG
4(a)(v). Postal Code
4(a)(i). Address 1
For non-qualifying securities
4(a)(ii). Address 2
13/F Man Yee Building, 68 Des Voeux Road
4(a)(iii). City
Hong Kong
4(a)(iv). State or Country
K3
HONG KONG
4(a)(v). Postal Code
4(a)(i). Address 1
For non-qualifying securities
4(a)(ii). Address 2
Orange Office Park, ul. Klimeckiego 1
4(a)(iii). City
Krakow
4(a)(iv). State or Country
R9
POLAND
4(a)(v). Postal Code
5. Does registrant act, or will it act, as a transfer agent solely for its own securities and/or securities of an affiliate(s)? 
     Yes       No
            
 
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?
     Yes       No
            
7. Has registrant been engaged, or will it be engaged, as a service company by a named transfer agent to perform transfer agent functions?
     Yes       No
            
 
Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission.  Those registrants who are not required to complete Question 8 should select "Not Applicable".
 
8. Is registrant a: Partnership 
Section for Initial Registration and for Amendments Reporting Additional Persons.
8(a)(i). Full Name
Thomas E. Berk
8(a)(ii). Relationship Start Date
2005-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Brian A. Berris
8(a)(ii). Relationship Start Date
1991-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Taylor S. Bodman
8(a)(ii). Relationship Start Date
1999-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
A - 5% up to 10%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
John J. Borland
8(a)(ii). Relationship Start Date
1998-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Geoffrey M. Cook
8(a)(ii). Relationship Start Date
2009-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Jean-Marc Crepin
8(a)(ii). Relationship Start Date
2015-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Douglas A. Donohue, Jr.
8(a)(ii). Relationship Start Date
1990-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
A - 5% up to 10%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Dario Galindo
8(a)(ii). Relationship Start Date
2003-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Kathryn C. George
8(a)(ii). Relationship Start Date
1998-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Timothy E. Hartch
8(a)(ii). Relationship Start Date
2010-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Kyosuke Hashimoto
8(a)(ii). Relationship Start Date
1992-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Charles O. Izard
8(a)(ii). Relationship Start Date
2004-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Michael R. Keller
8(a)(ii). Relationship Start Date
2015-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Radford W. Klotz
8(a)(ii). Relationship Start Date
1995-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
A - 5% up to 10%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Susan C. Livingston
8(a)(ii). Relationship Start Date
1998-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
A - 5% up to 10%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
T. Michael Long
8(a)(ii). Relationship Start Date
1984-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Hampton S. Lynch, Jr.
8(a)(ii). Relationship Start Date
1984-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Michael W. McConnell
8(a)(ii). Relationship Start Date
1984-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Jeffrey B. Meskin
8(a)(ii). Relationship Start Date
2011-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Yukinori Nagahisa
8(a)(ii). Relationship Start Date
2004-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
John A. Nielsen
8(a)(ii). Relationship Start Date
1987-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Sean Pairceir
8(a)(ii). Relationship Start Date
2010-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Jean-Pierre Paquin
8(a)(ii). Relationship Start Date
2015-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Christopher C. Remondi
8(a)(ii). Relationship Start Date
2012-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
A. Heaton Robertson III
8(a)(ii). Relationship Start Date
1994-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
William E. Rosensweig
8(a)(ii). Relationship Start Date
2012-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Jeffrey A. Schoenfeld
8(a)(ii). Relationship Start Date
1996-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
A - 5% up to 10%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Kevin W. Stone
8(a)(ii). Relationship Start Date
2009-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
W. Carter Sullivan III
8(a)(ii). Relationship Start Date
2000-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
A - 5% up to 10%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Andrew J.F. Tucker
8(a)(ii). Relationship Start Date
1998-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
A - 5% up to 10%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
William B. Tyree
8(a)(ii). Relationship Start Date
2001-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
A - 5% up to 10%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Maroa C. Velez
8(a)(ii). Relationship Start Date
2008-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
William J. Whelan, Jr.
8(a)(ii). Relationship Start Date
2000-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
NA - 0 to 5%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
8(a)(i). Full Name
Richard H. Witmer, Jr.
8(a)(ii). Relationship Start Date
1998-01-01
8(a)(iii). Title or Status
Partner
8(a)(iv). Ownership Code
A - 5% up to 10%
8(a)(v). Control Person
8(a)(vi). Relationship End Date
9. Does any person or entity not named in the answer to Question 8:
9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant; or . . . .
    Yes    No        
9(b). wholly or partially finance the business of applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others ? . . . . . . . . . . . . . . . . . . . . . . . . . .
 Yes    No
     
 
10.Applicant and Control Affiliate Disciplinary History:
 
The following definitions apply for purposes of answering this Question 10
 
Control affiliate
- An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control.  Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority.
Investment or investment related
- Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association).
Involved
- Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.
 
10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender ("no contest") to:
10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting or extortion?  . . . . . . . . . . . .
    Yes    No
        
10(a)(2). any other felony? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(b). Has any court in the past ten years: 
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(b)(2). found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations? . . . . .
    Yes    No
        
10(c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(c)(2). found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes? . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(c)(2)(i). The individuals named in the Action
The applicant
10(c)(2)(ii). Title of Action
Decision & Order of Offer of Settlement
10(c)(2)(iii). Date of Action
2014-09-10
10(c)(2)(iv). The Court or body taking the Action and its location
U.S. Securities and Exchange Commission
10(c)(2)(v). Description of the Action
In September 2014, the SEC alleged that Brown Brothers Harriman & Co. failed to make certain Section 13 and Section 16 filings of its proprietary and affiliated equity holdings under the Securities Exchange Act of 1934 on a timely basis.
10(c)(2)(vi). The disposition of the proceeding
Without admitting or denying the findings, the firm entered into a settlement agreement with the SEC and paid a civil penalty of $120,000.
10(c)(3). found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(c)(4). entered an order denying, suspending or revoking the applicant's or a control affiliate's registration or otherwise disciplined it by restricting its activities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(d). Has any other Federal regulatory agency or any state regulatory agency: 
10(d)(1). ever found the applicant or a control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? . . . . . .
    Yes    No
        
10(d)(2). ever found the applicant or a control affiliate to have been involved in a violation of investment-related regulations or statutes? . . . . . . . . . . . . . . . . .
    Yes    No
        
10(d)(3). ever found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(d)(4). in the past ten years entered an order against the applicant or a control affiliate in connection with investment-related activity? . . . . . . . . . .
    Yes    No
        
10(d)(5). ever denied, suspended, or revoked the applicant's or a control affiliate's registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? . . . . . .
    Yes    No
        
10(d)(6). ever revoked or suspended the applicant's or a control affiliate's license as an attorney or accountant? . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(e). Has any self-regulatory organization or commodities exchange ever: 
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(e)(2)(i). The individuals named in the Action
The applicant
10(e)(2)(ii). Title of Action
NYSE Hearing Board Decision 06-200
10(e)(2)(iii). Date of Action
2006-11-13
10(e)(2)(iv). The Court or body taking the Action and its location
New York Stock Exchange LLC, New York, NY
10(e)(2)(v). Description of the Action
The enforcement staff's allegations included failure to establish and maintain adequate policies and procedures relating to the identification of, and association with, individuals subject to statutory disqualification, and the prompt reporting to the NYSE of the existence of certain events required to be reported by NYSE rules.
10(e)(2)(vi). The disposition of the proceeding
Without admitting or denying guilt, BBH consented to a censure and fine in connection with the allegations. In addition, BBH implemented enhanced policies and procedures with respect to its hiring process and employee reporting requirements.
10(e)(2)(i). The individuals named in the Action
The applicant
10(e)(2)(ii). Title of Action
FINRA Letter of Acceptance, Waiver and Consent No. 2013035821401
10(e)(2)(iii). Date of Action
2014-02-04
10(e)(2)(iv). The Court or body taking the Action and its location
Financial Industry Regulatory Authority (FINRA). New York, NY
10(e)(2)(v). Description of the Action
FINRA alleged that the firm failed to establish and implement an adequate AML program as required by NASD Rule 3011(a) and FINRA Rules 3310(a) and 2010; to adequately supervise activity in foreign financial institution accounts as required by NASD Rule 3011(b) and FINRA Rules 3310(b) and 2010; to conduct adequate AML testing as required by NASD Rule 3011(c) and FINRA Rules 3310(c) and 2010; to conduct adequate AML training as required by NASD Rule 3011(e) and FINRA Rules 3310(e) and 2010; and, to establish, maintain and enforce a supervisory system to achieve compliance with Section 5 of the Securities Act of 1933, as required by NASD Rule 3010 and FINRA Rule 2010.
10(e)(2)(vi). The disposition of the proceeding
The Firm resolved the matter without admitting or denying the findings or liability and paid a fine of $8Million. The Firm filed a Corrective Action Statement with the AWC, noting the various steps BBH had taken, or was taking, to address FINRA's charges.
10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? . . . . . . . .
    Yes    No
        
10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? . . . . . . . . . . . . . . . .
    Yes    No
        
10(f). Has any foreign government, court, regulatory agency, or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(g). Is the applicant or a control affiliate now the subject of any proceeding that could result in a yes answer to questions 10(a) - 10(F)?
    Yes    No
        
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
    Yes    No
        
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT
CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.  See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
 
SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D,
And the executing official hereby represent that all the information contained herein is true, correct and complete.
 
11(a). Signature of Official responsible for Form:
Ursula Costigan
11(b). Telephone number:
617.772.6161
11(c). Title of Signing Officer:
Vice President
11(d). Date signed (Month/Day/Year):
2017-02-23
 
 

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