Operations Content

[31421] October 4, 2018 TO: Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Small Funds Committee Technology Committee RE: SEC Sanctions Broker-Dealer/Adviser for Cyber...

[31407] September 25, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31356] August 28, 2018 TO: Broker/Dealer Advisory Committee Chief Information Security Officer Advisory Committee Compliance Advisory Committee Operations Committee Transfer Agent Advisory Committee RE: FINRA Sanctions Broker-Dealer for Fraudulent Transfers Resulting from Hacking of...

[31355] August 28, 2018 TO: Operations Committee RE: Registration Open - Operations Committee Meeting - October 11-12, 2018 The Investment Company Institute’s Operations Committee will meet on Thursday, October 11, 2018 from 2:00 to 5:00 pm, and on Friday, October 12, 2018, ending at...

[31349] August 24, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31346] August 23, 2018 TO: Chief Risk Officer Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Operations Committee Securities Operations Advisory Committee RE: ICI Member Call September 6: Follow-Up Discussion on TMPG White Paper Earlier this week...

[31342] August 20, 2018 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: Tax RE: 2018...

[31322] August 9, 2018 TO: Chief Risk Officer Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee Securities Operations Advisory Committee RE: ICI Member Call August 22: Treasury Market Practices Group...

[31320] August 7, 2018 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee...

[31319] August 7, 2018 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee Small Funds Committee Transfer Agent Advisory Committee RE: C-Share (Level Load) Conversion: Operational Considerations White...