Transfer Agent Advisory Committee
The Transfer Agent Advisory Committee provides information on transfer agency operational practices, processes, and procedures.
The Transfer Agent Advisory Committee:
- Addresses shareholder recordkeeping and servicing, intermediary oversight and servicing issues, regulatory, compliance, and other transfer agency operations related matters.
- Facilitates implementation of and compliance with new regulatory requirements.
- Provides a forum for exchanging information on transfer agency operational practices, processes, and procedures to improve operational efficiencies and provide outstanding service to mutual fund investors and intermediary partners.
Committtee Members
Key Issues of Interest
- Implementing effective and efficient processes and procedures to comply with new and existing regulatory requirements.
- Improving the efficiency and effectiveness of transfer agency operations through committee initiatives.
- Sharing information on shareholder servicing processes and functions to identify best practices.
- Providing industry input from an operations perspective for regulatory and legislative proposals.
Committee Meetings
The Transfer Agent Advisory Committee holds three-four committee meetings per year, via a combination of in-person and virtual events.
Membership Information
Committee members should be transfer agent operations senior executives with decision making authority for their organization. Nonmembers may participate on the committee at the staff liaison’s request. Committee members are encouraged to attend all committee meetings and to participate in committee projects as appropriate. Each member firm may have one representative on the Transfer Agent Advisory Committee.
Colleague Access
Colleague Access gives committee representatives the ability to designate co-workers (i.e., non‑committee members) to view committee memos and materials online, receive notification of memos addressed to the committee via ICI Digest and participate in committee calls and meetings.
As committees may deal with confidential policy topics involving draft comment letters and conference calls, ICI limits the number of colleagues per firm who can be designated for Colleague Access. Only committee representatives (not alternates or substitutes) can activate Colleague Access, and colleagues must be employed by the committee member’s firm.
Transfer Agency Advisory Committee representatives may designate at total of five individuals for Colleague Access.
Committee - Latest Memos
