Form TA-1 Filer Information | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A | OMB APPROVAL |
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TA-1/A : Filer Information
Form Version X0405 |
1(a). Filer CIK: | 0000353291 |
1(b). Filer CCC: | ******** |
1(c). Is this a LIVE or TEST submission? | ![]() ![]() |
1(d). Would you like a Return Copy? | ![]() |
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): | ![]() ![]() ![]() |
3(a). Full Name of Registrant: | FRANKLIN TEMPLETON INVESTOR SERVICES LLC /TA |
3(a)(i). Previous name, if being amended: | FRANKLIN TEMPLETON INVESTOR SERVICES INC /TA |
3(b). Financial Industry Number (FINS) number: | 404665 |
3(c). Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i). Address 1 | 3344 Quality Drive |
3(c)(ii). Address 2 | |
3(c)(iii). City | Rancho Cordova |
3(c)(iv). State or Country | CALIFORNIA |
3(c)(v). Postal Code | 95670 |
3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es): | ![]() ![]() |
3(e). Telephone Number (Include Area Code) | 916-463-4350 |
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): | ![]() ![]() |
Other Business Location Record: 1 | |
4(a)(i). Address 1 | 100 Fountain Parkway |
4(a)(ii). Address 2 | |
4(a)(iii). City | St. Petersburg |
4(a)(iv). State or Country | FLORIDA |
4(a)(v). Postal Code | 33716 |
Other Business Location Record: 2 | |
4(a)(i). Address 1 | One Franklin Parkway |
4(a)(ii). Address 2 | |
4(a)(iii). City | San Mateo |
4(a)(iv). State or Country | CALIFORNIA |
4(a)(v). Postal Code | 94403 |
5. Does registrant act, or will it act, as a transfer agent solely for its own securities, and/or securities of an affiliate(s)? | ![]() ![]() |
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions? | ![]() ![]() |
6(a). Name | Franklin Templeton International Service (India) Private Limited |
6(b). File Number | |
6(c)(i). Address 1 | Franklin Templeton Park |
6(c)(ii). Address 2 | Plot #18-23 Financial Dist. Nanakramguda |
6(c)(iii). City | Hyderabad |
6(c)(iv). State or Country | INDIA |
6(c)(v). Postal Code | 500019 |
6(a). Name | Franklin Templeton Investments Poland sp. z o.o. |
6(b). File Number | |
6(c)(i). Address 1 | Andersia Tower |
6(c)(ii). Address 2 | Plac Andersia 3, 14th Floor |
6(c)(iii). City | Poznan |
6(c)(iv). State or Country | POLAND |
6(c)(v). Postal Code | 61-894 |
6(a). Name | Franklin Templeton Investment Services GmbH |
6(b). File Number | |
6(c)(i). Address 1 | Mainzer Landstrasse 16 |
6(c)(ii). Address 2 | |
6(c)(iii). City | D-60325 Frankfurt am Main |
6(c)(iv). State or Country | GERMANY |
6(c)(v). Postal Code | D-60325 |
7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions? | ![]() ![]() |
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: | Other | Limited Liability Company |
Section for Initial Registration and for Amendments Reporting Additional Persons.
Proprietor or other entity information Related to item 8 Record: 1
8(a)(i). Full Name | Templeton Worldwide, Inc. |
8(a)(ii). Relationship Start Date | 01/01/2001 |
8(a)(iii). Title or Status | Sole Member |
8(a)(iv). Description of Authority | Mgmt of business & affairs of registrant |
8(a)(v). 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;…. | ![]() ![]() |
9(a)(i). Exact name of each person or entity: | Franklin Resources, Inc. |
9(a)(ii). Description of the Agreement or other basis: | 100% ownership of Templeton Worldwide, 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?….. | ![]() ![]() |
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? | ![]() ![]() |
10(a)(2). any other felony? | ![]() ![]() |
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? | ![]() ![]() |
10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? | ![]() ![]() |
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? | ![]() ![]() |
Entity information Related to item 10(c)(1) Record: 1
10(c)(1)(i). The individuals named in the Action | Franklin Advisers, Inc. (FAV) |
10(c)(1)(ii). Title of Action | In the matter of FAV, Administrative Proceeding File No. 3-11572 |
10(c)(1)(iii). Date of Action | 08/02/2004 |
10(c)(1)(iv). The Court or body taking the Action and its location | U.S. Securities and Exchange Commission (SEC) |
10(c)(1)(v). Description of the Action | The action concerned the SEC's investigation of market timing activity. |
10(c)(1)(vi). The disposition of the proceeding | FAV and the SEC reached an agreement that resolved the issues resulting from the investigation into market timing activity. |
Entity information Related to item 10(c)(1) Record: 2
10(c)(1)(i). The individuals named in the Action | FAV and Franklin Templeton Distributors, Inc. (FTDI) |
10(c)(1)(ii). Title of Action | In the matter of FAV and FTDI, Administrative Proceeding File No. |
10(c)(1)(iii). Date of Action | 12/13/2004 |
10(c)(1)(iv). The Court or body taking the Action and its location | U.S. Securities and Exchange Commission (SEC) |
10(c)(1)(v). Description of the Action | The action concerned the SEC's investigation of marketing support payments to securities dealer who sell fund shares. |
10(c)(1)(vi). The disposition of the proceeding | FAV and FTDI reached an agreement with the SEC that resolved the issues resulting from the investigation into marketing support payments to securities dealers who sell fund shares. |
10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? | ![]() ![]() |
Entity information Related to item 10(c)(2) Record: 1
10(c)(2)(i). The individuals named in the Action | FAV |
10(c)(2)(ii). Title of Action | In the matter of FAV Admnistrative Proceeding File No. 3-11572 |
10(c)(2)(iii). Date of Action | 08/08/2004 |
10(c)(2)(iv). The Court or body taking the Action and its location | SEC |
10(c)(2)(v). Description of the Action | The action concerned the SEC's investigation of market timing activity. |
10(c)(2)(vi). The disposition of the proceeding | FAV and SEC reached an agreement that resolved the issues from the investigation into market timing activity. |
Entity information Related to item 10(c)(2) Record: 2
10(c)(2)(i). The individuals named in the Action | Fav and FTDI |
10(c)(2)(ii). Title of Action | In the matter of FAV and FTDI, Administrative Proceeding No. 3-11769 |
10(c)(2)(iii). Date of Action | 12/13/2004 |
10(c)(2)(iv). The Court or body taking the Action and its location | SEC |
10(c)(2)(v). Description of the Action | The action concerned the SEC's investigation of marketing support payments to securities dealers who sell fund shares. |
10(c)(2)(vi). The disposition of the proceeding | FAV and FTDI reached an agreement with the SEC that resolved the issues resulting from the investigation into marketing support payments to securities dealers who sell fund shares. |
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? | ![]() ![]() |
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? | ![]() ![]() |
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? | ![]() ![]() |
Entity information Related to item 10(d)(1) Record: 1
10(d)(1)(i). The individuals named in the Action | FAV and Franklin Templeton Alternative Strategies, Inc. (FTASI) |
10(d)(1)(ii). Title of Action | In the matter of FAV and FTASI, Docket No. E-2004-007 |
10(d)(1)(iii). Date of Action | 09/20/2004 |
10(d)(1)(iv). The Court or body taking the Action and its location | Securities Division Office of the Secretary of the Commonwealth of Massachusetts |
10(d)(1)(v). Description of the Action | The action concerned the Commonwealth of Massachusetts' investigation of market timing activity. |
10(d)(1)(vi). The disposition of the proceeding | FAV and FTASI reached an agreement with the Commonwealth of Massachusetts that resolved the issues resulting from the investigation of market timing activityl |
Entity information Related to item 10(d)(1) Record: 2
10(d)(1)(i). The individuals named in the Action | Franklin Resources, Inc. (FRI) |
10(d)(1)(ii). Title of Action | In the matter of FRI, Docket No. 2004-0044 |
10(d)(1)(iii). Date of Action | 11/19/2004 |
10(d)(1)(iv). The Court or body taking the Action and its location | Securities Division Office of the Secretary of the Commonwealth of Massachusetts |
10(d)(1)(v). Description of the Action | FRI's disclosure in Form 8-K regarding FAV and FTASI's agreement with the Commonwealth of Massachusetts that resolved the issues from the investigation of market timing activity. |
10(d)(1)(vi). The disposition of the proceeding | FRI and the Commonwealth of Massachusetts reached an agreement that resolved the issue resulting from FRI's Form 8-K disclosure. |
10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? | ![]() ![]() |
Entity information Related to item 10(d)(2) Record: 1
10(d)(2)(i). The individuals named in the Action | FAV and FTASI |
10(d)(2)(ii). Title of Action | In the matter of FAV and FTASI, Docket No. E-2004-007 |
10(d)(2)(iii). Date of Action | 09/20/2004 |
10(d)(2)(iv). The Court or body taking the Action and its location | Securities Division of the Secretary of the Commonwealth of Massachusetts |
10(d)(2)(v). Description of the Action | The action concerned the Commonwealth of Massachusetts' investigation of market timing activity. |
10(d)(2)(vi). The disposition of the proceeding | FAV and FTASI reached an agreement with the Commonwealth of Massachusetts that resolved the issue resulting from the investigation of market timing activity. |
Entity information Related to item 10(d)(2) Record: 2
10(d)(2)(i). The individuals named in the Action | FRI |
10(d)(2)(ii). Title of Action | In the matter of FRI, Docket No. E-2004-0044 |
10(d)(2)(iii). Date of Action | 11/19/2004 |
10(d)(2)(iv). The Court or body taking the Action and its location | Securities Division of the Secretary of the Commonwealth of Massachusetts |
10(d)(2)(v). Description of the Action | FRI's disclosure in Form 8-K regarding FAV and FTASI's agreement with the Commonwealth of Massachusetts that resolved the issues from the investigation of market timing activity. |
10(d)(2)(vi). The disposition of the proceeding | FTI and the Commonwealth of Massachusetts reached an agreement that resolved the issue resulting from FTI's Form 8-K disclosure. |
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? | ![]() ![]() |
10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? | ![]() ![]() |
Entity information Related to item 10(d)(4) Record: 1
10(d)(4)(i). The individuals named in the Action | FAV and FTASI |
10(d)(4)(ii). Title of Action | In the matter of FAV and FTASI, Docket No. E-2004-007 |
10(d)(4)(iii). Date of Action | 09/20/2004 |
10(d)(4)(iv). The Court or body taking the Action and its location | Securities Division of the Secretary of the Commonwealth of Massachusetts |
10(d)(4)(v). Description of the Action | The action concerned the Commonwealth of Massachusetts' investigation of market timing activity. |
10(d)(4)(vi). The disposition of the proceeding | FAV and FTASI reached an agreement with the Commonwealth of Massachusetts that resolved the issues resulting from the investigation of market timing activity. |
Entity information Related to item 10(d)(4) Record: 2
10(d)(4)(i). The individuals named in the Action | FRI |
10(d)(4)(ii). Title of Action | In the matter of FTI, Docket No. E-2004-0044 |
10(d)(4)(iii). Date of Action | 11/19/2004 |
10(d)(4)(iv). The Court or body taking the Action and its location | Securities Division of the Secretary of the Commonwealth of Massachusetts |
10(d)(4)(v). Description of the Action | FRI's disclosure in Form 8-K regarding FAV and FTASI's agreement with the Commonwealth of Massachusetts that resolved the issues from the investigation of market timing activity. |
10(d)(4)(vi). The disposition of the proceeding | FRI and the Commonwealth of Massachusetts reached an agreement that resolved the issue resulting from FRI's Form 8-K disclosure. |
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? | ![]() ![]() |
10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant? | ![]() ![]() |
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? | ![]() ![]() |
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? | ![]() ![]() |
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? | ![]() ![]() |
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? | ![]() ![]() |
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? | ![]() ![]() |
Entity information Related to item 10(f) Record: 1
10(f)(i). The individuals named in the Action | Franklin Templeton Investments Corp. (FTIC) |
10(f)(ii). Title of Action | Securities Act R.S.O. 1990, C.S.5., as amended and FTIC |
10(f)(iii). Date of Action | 03/03/2005 |
10(f)(iv). The Court or body taking the Action and its location | Ontario Securities Commission (OSC) |
10(f)(v). Description of the Action | The action concerned the OSC's investigation into market timing activity. |
10(f)(vi). The disposition of the proceeding | FTIC and the OSC reached and agreement the resolved the issues resulting from the OSC's investigation into market timing activity. |
Entity information Related to item 10(f) Record: 2
10(f)(i). The individuals named in the Action | Templeton Asset Management Ltd. (TAML) |
10(f)(ii). Title of Action | Stipulated Censure |
10(f)(iii). Date of Action | 12/14/2010 |
10(f)(iv). The Court or body taking the Action and its location | The Hong Kong Securities and Futures Commission (SFC) |
10(f)(v). Description of the Action | SFC issued a public censure of TAML in connection with its finding that TAML breached Rule 22 of the Hong Kong Takeovers Code as a result of TAML's inadvertent failure to disclose its dealings in the shares of a Hong Kong company between January 26, 2010 and April 15, 2010. |
10(f)(vi). The disposition of the proceeding | Resolved. TAML cooperated with the SFC and consented to the censure in connection with its inadvertent failure to make disclosures required by the Takeovers Code. TAML publicly disclosed its holdings, but missed the additional code requirements. |
Entity information Related to item 10(f) Record: 3
10(f)(i). The individuals named in the Action | Franklin Templeton Asset Management (India) Private Limited |
10(f)(ii). Title of Action | Adjudication Order No. NP/JS/AO/4-6/2016 |
10(f)(iii). Date of Action | 05/03/2016 |
10(f)(iv). The Court or body taking the Action and its location | Securities and Exhange Board of India (SEBI) |
10(f)(v). Description of the Action | SEBI issued a finding that an Indian-domiciled mutual fund was not operated in accordance with the SEBI regulations that stipulate the for of the fund's investment committee (IC) and require that the fund carry out all of its operations, including location of IC Members, within India. In connection with that finding, SEBI imposed a penalty on the fund, fund's trustee company and the advisor a manager of the fund in the amount of approximately US$14,672 (the equivalent of the INR amount as of the date of payment) which was paid by the adviser on behalf of all parties. |
10(f)(vi). The disposition of the proceeding | SEBI imposed a penalty on the Fund, Fund's trustee company and the adviser as manager of the fund of INR 1,000,000 (approximately US$14,672 as of date of payment) was paid by the adviser on behalf of all the parties to resolve the matter on 11/29/16. |
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) ? | ![]() ![]() |
Entity information Related to item 10(g) Record: 1
10(g)(i). The individuals named in the Action | Franklin Templeton Investment Trust Management Co., Ltd. (FTITMC) Certain current employees of FTITMC |
10(g)(ii). Title of Action | Administrative Proceeding |
10(g)(iii). Date of Action | 01/29/2019 |
10(g)(iv). The Court or body taking the Action and its location | Asset Management Examination Dept. of the Korean Financial Supervisory Service |
10(g)(v). Description of the Action | In connection with a review of FTITMC's risk management controls and procedures applicable to funds domiciled in Korea under Korean Law, the Asset Management Examination Department of the Korean Financial Supervisory Service (FSS) alleges the following deficiencies in connection with the bankruptcies of certain portfolio holdings of certain such funds managed by FTITMC: Failure to disclose all details of non-performing assets; failure to provide timely fair market valuation of debt/equity swaps; failure to manage the funds in line with trust agreements with respect to credit and asset limits; and failure to oversee a U.S.-based investment adviser appointed by FTITMC as sub-advisor to certain Korean domiciled funds that held loans to companies that entered into Chapter 11 Bankruptcy in the U.S. FTITMC has cooperated with the review and is responding to the Administrative Proceeding. |
10(g)(vi). The disposition of the proceeding | The Administrative Proceeding remains pending, but the FSS verbally advised that it will likely issue an institutional caution. |
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? | ![]() ![]() |
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? | ![]() ![]() |
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: | Basil K. Fox, Jr. |
11(b). Telephone Number: | 916-463-1515 |
11(c). Title of Signing Officer: | President |
11(d). Date Signed (Month/Day/Year): | 03/20/2019 |