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December 19, 2001
TO: TRANSFER AGENT ADVISORY COMMITTEE No. 106-01
RE: 2001 SURVEY OF BEST PRACTICES FOR INDUSTRY TRANSFER OF ASSETS FORM
A Task Force of the Investment Company Institute’s Transfer Agent Advisory
Committee (TAAC) was formed earlier this year in order to gather data regarding industry best
practices with respect to the content and design of mutual fund transfer of assets forms. Monica
Tarantino of Lord Abbett agreed to lead this effort and was assisted by representatives from
AIM Fund Services, MFS Service Center, Delaware Service Co., Liberty Funds Services, Pioneer
Investment and Alliance Fund Services in preparing the attached survey of best practices to use
for standardizing mutual fund industry transfer of assets forms.
All survey responses were aggregated and no individual complex name or data has been
distributed or discussed in the attached survey of best practices document. The survey was
prepared by the ICI for informational purposes only. Any decisions by Institute members in
response to this material should be done independently. The aggregate survey results will be
shared with the Committee and reviewed and discussed at future Committee meetings.
We would like to extend our thanks to Monica Tarantino, formerly of Lord Abbett &
Company who worked with TAAC member firms and the ICI staff in gathering the best
practices data and in analyzing and summarizing the survey results.
If you have any questions regarding the survey, please contact the undersigned at 202-
326-5930 or by email at kjoaquin@ici.org.
Kathleen C. Joaquin
Director – Transfer Agency
& International Operations
Attachment (in .pdf format)