Operations Content

[31921] August 28, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Abandoned Property and Escheatment Pension RE: ICI Submits Written Statement to ERISA Advisory Council on Permissive Transfers of Uncashed Checks from ERISA Plans to State...

[31920] August 26, 2019 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Atlantic Chapter ICI Global Regulated Funds Committee Privacy Issues Working Group SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers Operations...

[31916] August 22, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Issues Proxy-Related Guidance to Investment Advisers and Proxy Advisory Firms On August 21...

[31917] August 22, 2019 TO: ICI Members ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee...

[31914] August 21, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Anti-Money Laundering International/Global Operations Trading and Markets RE: Monetary Authority of Singapore (MAS) Issues Consultation on the Requirements on...

[31909] August 20, 2019 TO: ICI Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee SUBJECTS: Fund Accounting...

[31905] August 19, 2019 TO: Operations Committee RE: Registration Open - Operations Committee Meeting - October 9-10, 2019 The Investment Company Institute’s Operations Committee will meet on Wednesday, October 9, 2019 from 2:00 to 5:00 pm, and on Thursday, October 10, 2019, starting...

[31898] August 13, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: Monetary Authority of Singapore (MAS) Issues Consultation on the Proposed Framework for Variable Capital Companies - Part 3 On...

[31883] August 2, 2019 TO: Bank, Trust and Retirement Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee RE: SEC Sanctions Custodial Bank for Overcharging Mutual Funds for Custody Expenses The SEC recently...

[31885] August 2, 2019 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Municipal Securities Advisory Committee SUBJECTS: Derivatives Disclosure Fixed Income Securities Fund Accounting & Financial...