Operations Content

[27179] April 12, 2013 TO: OPERATIONS COMMITTEE No. 16-13 RE: IRS RELEASES FFI LIST SCHEMA AND TEST FILES   The IRS has released the schema for the foreign financial institution (FFI) list.  Test files for FATCA compliance systems were also released.  The files are available on the...

[27169] April 9, 2013 TO: TAX COMMITTEE No. 11-13 INTERNATIONAL COMMITTEE No. 12-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 9-13 TRANSFER AGENT ADVISORY COMMITTEE No. 29-13 BROKER/DEALER ADVISORY COMMITTEE No. 19-13 ICI GLOBAL TAX COMMITTEE No. 9-13 TAAC FATCA TASK FORCE No. 3...

[27168] April 9, 2013 TO: TAX COMMITTEE No. 10-13 INTERNATIONAL COMMITTEE No. 11-13 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 8-13 TRANSFER AGENT ADVISORY COMMITTEE No. 28-13 BROKER/DEALER ADVISORY COMMITTEE No. 18-13 ICI GLOBAL TAX COMMITTEE No. 8-13 TAAC FATCA TASK FORCE No. 2...

[27167] April 9, 2013 TO: OPERATIONS COMMITTEE No. 15-13 TAAC FATCA TASK FORCE No. 1-13 RE: IRS RELEASES DRAFT REGISTRATION AND OTHER TAX FORMS FOR FATCA   The IRS has released for comment a draft Form 8957 (the FATCA registration form for financial institutions) and a draft Form 1042...

[27158] April 5, 2013 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 8-13 BROKER/DEALER ADVISORY COMMITTEE No. 16-13 OPERATIONS COMMITTEE No. 14-13 TRANSFER AGENT ADVISORY COMMITTEE No. 26-13 RE: GAO ISSUES REPORT ON 401(K) PLAN ROLLOVERS   The GAO has issued its long awaited...

[27116] March 15, 2013 TO: BROKER/DEALER ADVISORY COMMITTEE No. 15-13 OPERATIONS COMMITTEE No. 13-13 SALES FORCE MARKETING COMMITTEE No. 2-13 RE: NOTICE OF COMMITTEE CONFERENCE CALL: SEC REQUESTS DATA ON POSSIBLE FIDUCIARY DUTY FOR BROKER-DEALERS AND IA-BD HARMONIZATION   As we...

[27096] March 11, 2013 TO: PENSION MEMBERS No. 13-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 7-13 OPERATIONS COMMITTEE No. 12-13 RE: DEPARTMENT OF LABOR ISSUES GUIDANCE REGARDING THE SELECTION OF TARGET DATE FUNDS BY PLAN FIDUCIARIES   The Department of Labor recently issued...

[27050] February 26, 2013 TO: PENSION MEMBERS No. 12-13 OPERATIONS COMMITTEE No. 11-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 6-13 TRANSFER AGENT ADVISORY COMMITTEE No. 21-13 RE: ICI COMMENT LETTER ON DEPARTMENT OF LABOR PROPOSED AMENDMENTS TO ABANDONED PLAN REGULATIONS AND...

[26952] January 30, 2013 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 5-13 BROKER/DEALER ADVISORY COMMITTEE No. 8-13 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 5-13 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 2-13 OPERATIONS COMMITTEE...

[26949] January 28, 2013 TO: OPERATIONS COMMITTEE No. 9-13 RE: OPERATIONS COMMITTEE MEETING NOTICE - APRIL 10-11, 2013   The next meeting of the Operations Committee will be held on Wednesday, April 10 and Thursday, April 11, 2013 at the offices of the Investment Company Institute...