Operations Content

[30930] October 30, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Cybersecurity Derivatives Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global...

[30920] October 20, 2017 TO: Operations Committee RE: Mark Your Calendar - 2018 Operations Committee Events Schedule Please mark your calendar for the following Operations Committee events scheduled in 2018: Conference Call - January 25, 2018 2:00 – 3:30PM ET Meeting - April 4-5, 2018...

[30908] October 12, 2017 TO: ICI Members SUBJECTS: Operations Systemic Risk RE: ICI Submits Comments on OCC, FDIC Proposal to Align Their Rules with T+2 Settlement Cycle for Securities Transactions ICI has submitted a comment letter to the Office of the Comptroller of the Currency...

[30897] October 4, 2017 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee...

[30889] September 28, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Compliance Derivatives International/Global Investment Advisers Recordkeeping...

[30847] August 22, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee...

[30842] August 16, 2017 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: 2017...

[30834] August 14, 2017 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 SEC Rules Committee Transfer...

[30831] August 11, 2017 TO: AML Compliance Working Group Compliance Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Customer Due Diligence Social Code Categorization Matrix We are pleased to announce the...

[30819] August 8, 2017 TO: ICI Members Investment Company Directors Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight...