Operations Content

[32567] June 29, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment COVID-19 Transfer Agency RE: Updated SEC Relief for Transfer Agents; Newly Issued Relief Related to Temporary International Mail Service Suspensions The Commission and staff recently provided several...

[32564] June 29, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group...

[32545] June 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Operations Committee Pension Committee Pension Operations...

[32540] June 18, 2020 TO: ICI Members Accounting/Treasurers Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee LIBOR Transition Working Group SEC Rules Committee Security Valuation Operations Committee SUBJECTS: Compliance Operations RE: LIBOR Update: SEC...

[32530] June 16, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group...

[32495] May 29, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Distribution Operations Recordkeeping Settlement RE: ICI Operations White Papers...

[32492] May 28, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Proposes Regulation on Default Withholding for Periodic Payments from Retirement Plans and Annuities The...

[32465] May 18, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: China Issued Consultation to Allow Foreign Banks to be Fund Custodians On 9 May 2020, the China Securities Regulatory Commission...