Transfer Agent Advisory Content

Nareit has informed us that it no longer will publish on its website the year-end reporting layouts of its member real estate investment trusts (REITs). To the extent available, Nareit will publish links to member REITs' press releases or website pages regarding tax treatment of 2021...

ICI's AML Compliance Working Group will hold a videoconference meeting via Zoom on Wednesday, December 15, from 2:00 p.m. to 3:30 p.m. ET.

On November 17, the SEC proposed changes to its 2020 proxy advice amendments by a 3-2 vote. Most notably, the proposal would rescind provisions in the 2020 amendments.

The President's Working Group on Financial Markets, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency (the "Agencies") recently released a 23-page report on stablecoins ("report").

Yesterday, the SEC staff rescinded prior guidance and also issued new guidance on the shareholder proposal rule (Rule 14a-8). Rule 14a-8 under the Exchange Act conditionally permits a company's shareholders to include proposals (i.e., recommendations or requirements that a company and...

The Institute has filed a Complaint for Declaratory Relief in the Superior Court for the County of Sacramento to address members' concerns with the interpretation of the State's Unclaimed Property Law by the California State Controller's Office. The basis for the suit, which will...

Last week, the European Banking Authority (EBA) published its final report containing regulatory technical standards (RTS) on disclosure of investment policy by investment firms, substantially as proposed.[2] The RTS are meant to gather from investment firms disclosures designed to...

On October 18, the US Department of the Treasury released the results of a broad review of the economic and financial sanctions that it administers and enforces, and issued recommendations to preserve and enhance their effectiveness in supporting national security and US interests.

We are pleased to announce the publication of a new white paper, "Protecting Nonpublic Personal Information in a Data-Driven Distribution Model."