CACEIS (Canada) TA-1/A Registration as a transfer agent (amended)

Form TA-1 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A	OMB APPROVAL
FORM TA-1/A		OMB Number:   3235-0084 Estimated average burden hours per response: 1.5

TA-1/A : Filer Information

Form Version X0405

1(a). Filer CIK:	0001550840
1(b). Filer CCC:	********
1(c). Is this a LIVE or TEST submission?	Live   Test
1(d). Would you like a Return Copy?	Yes

Submission Contact Information

The registrant may provide a single e-mail address for contact purposes.

1(f)(i). Contact Name:

1(f)(ii). Contact Phone Number:

1(f)(iii). Contact E-Mail Address:

Notification Information

The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.

1(g). Notification E-mail Address:

TA-1/A : Registrant Information

2. Appropriate regulatory agency (check one):   Securities and Exchange Commission     Federal Deposit Insurance Corporation     Comptroller of the Currency  

3(a). Full Name of Registrant:	SS&C (Canada) Ltd
3(a)(i). Previous name, if being amended:	CACEIS (Canada) Ltd
3(b). Financial Industry Number (FINS) number:	347419

3(c). Address of principal office where transfer agent activities are, or will be, performed:

3(c)(i). Address 1	1 Robert Speck Parkway
3(c)(ii). Address 2	Suite 1400
3(c)(iii). City	Mississauga
3(c)(iv). State or Country	ONTARIO, CANADA
3(c)(v). Postal Code	L4Z3M3
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)	905-281-0001
4. Does Registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Questions 3(c) above? If "Yes" provide address (es):	Yes   No
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

TA-1/A : Independent, Non-Issuer Registrant Information

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: Corporation

Section for Initial Registration and for Amendments Reporting Additional Persons.

corporation or partner information Related to item 8 Record: 1

8(a)(i). Full Name	Patrick J. Pedonti
8(a)(ii). Relationship Start Date	05/31/2018
8(a)(iii). Title or Status	Chief Financial Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date	10/04/2023

corporation or partner information Related to item 8 Record: 2

8(a)(i). Full Name	Adam Girard
8(a)(ii). Relationship Start Date	05/31/2018
8(a)(iii). Title or Status	Tax Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 3

8(a)(i). Full Name	Jason White
8(a)(ii). Relationship Start Date	11/01/2021
8(a)(iii). Title or Status	Secretary
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 4

8(a)(i). Full Name	Christopher Kundro
8(a)(ii). Relationship Start Date	03/17/2023
8(a)(iii). Title or Status	President
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 5

8(a)(i). Full Name	Rahul Kanwar
8(a)(ii). Relationship Start Date	03/17/2023
8(a)(iii). Title or Status	Authorized Signatory
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
8(a)(vi). Relationship End Date

corporation or partner information Related to item 8 Record: 6

8(a)(i). Full Name	Brian N. Schell
8(a)(ii). Relationship Start Date	10/04/2023
8(a)(iii). Title or Status	Chief Financial Officer
8(a)(iv). Ownership Code	NA
8(a)(v). Control Person	Yes
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

Entity information Related to item 9(a) Record: 1

9(a)(i). Exact name of each person or entity:	SS&C Fund Administration Company
9(a)(ii). Description of the Agreement or other basis:	SS&C (Canada) Limited is a wholly owned subsidiary of SS&C Fund Administration Company

Entity information Related to item 9(a) Record: 2

9(a)(i). Exact name of each person or entity:	SS&C Technologies Holdings, Inc.
9(a)(ii). Description of the Agreement or other basis:	SS&C (Canada) Limited is a wholly owned indirect subsidiary of SS&C Technologies Inc.

9(b). wholly or partially finance the business of the 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

TA-1/A : 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 contendere ("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 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 control affiliate to have made a false statement or omission?	Yes   No

10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes?  Yes   No

Entity information Related to item 10(c)(2) Record: 1

10(c)(2)(i). The individuals named in the Action	DST Asset Manager Solutions, Inc.
10(c)(2)(ii). Title of Action	Order Instituting Administrative and Cease and Desist Proceedings / File No. 3-21565 / Release No. 98153
10(c)(2)(iii). Date of Action	08/17/2023
10(c)(2)(iv). The Court or body taking the Action and its location	United States Securities and Exchange Commission
10(c)(2)(v). Description of the Action	The SEC alleged that DST Asset Manager Solutions, Inc. ("DST AMS"), who is an SEC registered transfer agent, violated Exchange Act Rule 17Ad-17 related to searching for lost securityholders, by requiring a database search match to the lost securityholders name in addition to social security number as a condition to sending outreach letters to potentially better mailing addresses in an attempt to locate lost securityholders.
10(c)(2)(vi). The disposition of the proceeding	Pursuant to the Order, in addition to a $500,000 civil monetary penalty and a censure, DST AMS agreed to undertake to (a) take reasonable steps to locate lost securityholders to whom it did not send outreach letters after receiving an SSN match after database searches and who experienced escheatment during the period covered by the investigation, (b) request its mutual fund clients to periodically send out notifications to their shareholders informing them of the risk of escheatment, and (c) provide written certification annually for five years that its written policies and procedures have complied with the requirements of Rule 17Ad-17 and that it has followed those written policies and procedures in practice.

10(c)(3). found the applicant or 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 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 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 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 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 control affiliate in connection with investment-related activity?  Yes   No

10(d)(5). ever denied, suspended, or revoked applicant’s or 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)(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 a proceeding that could result in a yes answer for 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

TA-1/A : Signature

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:	Christopher Kundro
11(b). Telephone Number:	646-827-2145
11(c). Title of Signing Officer:	President
11(d). Date Signed (Month/Day/Year):	03/26/2024