Bank, Trust and Recordkeeper Advisory Content

[30684] April 27, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping RE: CFTC Staff Issues Exemptive Relief for CTAs to...

[30670] April 10, 2017 TO: Bank, Trust and Retirement Advisory Committee RE: BTRAC Meeting Notice - June 7-8, 2017 The next Bank, Trust and Retirement Advisory Committee meeting will be held on Wednesday, June 7, 2017, from 1:00 p.m. to 5:00 p.m. and on Thursday, June 8, 2017, from 9...

[30649] March 20, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Derivatives Investment Advisers Recordkeeping Technology & Business Continuity Trading and Markets RE: ICI...

[30590] February 21, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Investment Advisers...

[30553] January 31, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee Small Funds Committee...

[30550] January 30, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30512] January 11, 2017 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations...

[30487] December 19, 2016 TO: Bank, Trust and Retirement Advisory Committee RE: BTRAC Meeting Notice - February 8-9, 2017 The next Bank, Trust and Retirement Advisory Committee meeting will be held on Wednesday, February 8, 2017, from 1:00 p.m. to 5:00 p.m. and on Thursday, February 9...

[30465] December 8, 2016 TO: ICI Members Bank, Trust and Retirement Advisory Committee Pension Committee SUBJECTS: Pension RE: Updated Instructions to IRS Forms 1099-R and 5498 Include Directions for Reporting Late Rollover Contributions Completed Using New Self-Certification...

[30441] December 1, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee RE: BDAC/BTRAC Conference Call on NSCC Enhancements - December 9, 2016 Committee members and their colleagues are invited to join the fourth quarter BDAC/BTRAC Conference Call...