Bridging the gap between
companies and their shareholders.

The one stop shop for all your
capital market services.

Transfer Agent Services

  • Shareholder record keeping & management
  • DRS, DWAC & FAST agent processing
  • Stock issuance and transfer execution
  • Lost shareholder outreach & escheatment
🤖

AI-Driven Investor Relations

  • Automated shareholder communications
  • AI-powered investor Q&A and inquiry handling
  • Real-time shareholder analytics dashboard
  • Investor targeting and outreach tools
💰

Dividend Administration

  • Dividend payment processing & disbursement
  • DRIP (Dividend Reinvestment Plan) management
  • Tax withholding & 1099-DIV reporting
  • Unclaimed property compliance
🔄

Corporate Actions

  • Stock splits, reverse splits & reclassifications
  • M&A share exchanges & tender offers
  • Rights offerings & warrant exercises
  • Spin-offs and restructuring support
🗳️

Proxy & Annual Meeting Services

  • Proxy statement distribution & management
  • Electronic voting platform & tabulation
  • Annual meeting logistics & coordination
  • SEC filing coordination & compliance
📑

Regulatory Reporting & Compliance

  • SEC reporting (Section 16, 13F, 13G)
  • Beneficial ownership tracking & monitoring
  • AML/KYC verification workflows
  • FINRA & unclaimed property reporting
🖨️

Financial Printing

  • Proxy & annual report production
  • SEC EDGAR filing & document preparation
  • Digital & physical shareholder distribution
  • Prospectus & offering document printing
🧮

Calculation Agent

  • Conversion rate & adjustment calculations
  • Derivative & structured product determinations
  • Anti-dilution & ratchet mechanism calculations
  • Independent third-party determinations

Modernizing capital markets
and investor relations.

Carol Nguyen, Founder and CEO, spent 10 years at Goldman Sachs, raising capital for and taking hundreds of technology companies public. She is supported by a team of ex-investment bankers, lawyers, investors, start-up operators and engineers.

Efficiency's team has over $100bn of capital markets experience.

Carol Nguyen
Carol Nguyen Founder & CEO
Companies our team has worked with

Latest insights

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March 2026

Financial Printing: A $5 Billion Industry Stuck in 1985

Every year, public companies spend billions printing proxy statements and annual reports the same way they did in 1985. Here's why the industry is overdue for disruption.

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July 21, 2025

The Latest Trends in Bitcoin Treasury Strategies

From a 'radical' move in 2020 to a 'strategic' asset by 2025, Bitcoin's role in corporate treasury has evolved dramatically.

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July 3, 2025

What are Medallion Guarantees—and Are They Still Required?

Despite a rapid shift towards digital verification, medallion guarantees are still necessary in certain contexts.

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May 1, 2025

The Role of a Transfer Agent, Trustee, and Asset Manager in a SPAC IPO

Behind every SPAC are three critical service providers most investors never think about. Here's what each one does.

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June 1, 2024

Today's Paperwork Crisis: The Meme Stock Frenzy

The GameStop squeeze of 2021 didn't just break hedge funds — it exposed how fragile the back-office infrastructure of American capital markets truly is.

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May 14, 2024

Transfer Agent 101

Most management teams don't know when or why they need a transfer agent. Here's everything you need to know.

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Ready to modernize your capital markets stack?

Get in touch and we'll show you what Efficiency can do for your company.

Get Started →