Operations Content

[30097] July 29, 2016 TO: OPERATIONS COMMITTEE No. 18-16 RE: REGISTRATION NOW OPEN: OCTOBER 12-13, 2016 - OPERATIONS COMMITTEE MEETING   The Investment Company Institute’s Operations Committee will meet on Wednesday, October 12, 2016, from 2:00 to 5:00 pm, and on Thursday, October 13...

[30076] July 28, 2016 TO: TAX MEMBERS No. 14-16 TRANSFER AGENT ADVISORY COMMITTEE No. 31-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-16 BROKER/DEALER ADVISORY COMMITTEE No. 25-16 OPERATIONS COMMITTEE No. 16-16 ACCOUNTING/TREASURERS COMMITTEE No. 15-16 CLOSED-END INVESTMENT...

[30089] July 28, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-16 CHIEF RISK OFFICER COMMITTEE No. 20-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 8-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No...

[30062] July 20, 2016 TO: INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 17-16 SECURITIES OPERATIONS ADVISORY COMMITTEE OPERATIONS COMMITTEE No. 15-16 RE: ICI LETTER DISPUTES FSOC CONTENTIONS REGARDING MUTUAL FUND LIQUIDITY AND REDEMPTION RISKS   As we indicated previously, at an...

[30028] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-16 CHIEF RISK OFFICER COMMITTEE No. 16-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 6-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 33...

[30025] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-16 BROKER/DEALER ADVISORY COMMITTEE No. 22-16 CHIEF RISK OFFICER COMMITTEE No. 15-16 COMPLIANCE ADVISORY COMMITTEE No. 5-16 INVESTMENT ADVISERS COMMITTEE No. 10-16...

[30010] July 5, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-16 BROKER/DEALER ADVISORY COMMITTEE No. 20-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-16 CHIEF RISK OFFICER COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 4-16 INVESTMENT ADVISERS COMMITTEE No. 9-16...

[29912] May 16, 2016 TO: AML COMPLIANCE WORKING GROUP No. 2-16 BROKER/DEALER ADVISORY COMMITTEE No. 15-16 INVESTMENT ADVISERS COMMITTEE No. 8-16 OPERATIONS COMMITTEE No. 11-16 SEC RULES COMMITTEE No. 23-16 SMALL FUNDS COMMITTEE No. 14-16 TRANSFER AGENT ADVISORY COMMITTEE No. 19-16 RE...

[29846] April 20, 2016 TO: 4-DECIMAL NAV CALCULATION WORKING GROUP ACCOUNTING/TREASURERS COMMITTEE No. 8-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 13-16 BROKER/DEALER ADVISORY COMMITTEE No. 13-16 INTRADAY PROCESSING WORKING GROUP LIQUIDITY FEES/REDEMPTION GATES WORKING...

[29823] April 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 6-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-16 BROKER/DEALER ADVISORY COMMITTEE No. 10-16 EQUITY MARKETS ADVISORY COMMITTEE No. 12-16 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-16 OPERATIONS COMMITTEE...