Transfer Agent Advisory Content

On Wednesday, July 14th, 2021, ICI Global along with several trade associations, representing the buy-side, sell-side, and market infrastructures, jointly submitted the attached letter to the European Commission ("the Commission"), and the European Securities and Markets Authority (...

In late March, the European Banking Authority (EBA) published a consultation paper on draft regulatory technical standards (RTS) on disclosure of investment policy by investment firms under Article 52 Regulation (EU) 2019/2033 on the prudential requirements of investment firms (IFR)...

The Office of Information and Regulatory Affairs released the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions on June 11. The agenda includes regulatory actions that the Securities and Exchange Commission and Commodity Futures Trading Commission expect to take...

ICI's Transfer Agent Advisory Committee will meet virtually on Wednesday, July 21st and Thursday, July 22nd. The committee meeting will be broken into four 90-minute session via the Zoom platform.

Senators Cardin (D-MD) and Portman (R-OH) recently reintroduced the Retirement Security and Savings Act of 2021 (S. 1770).

On May 13, ICI filed the attached letter urging the SEC to reform the processing fee framework that governs the fees that intermediaries may charge funds for delivering proxy and other disclosure materials to fund shareholders who hold shares through such intermediaries.

ICI's AML Compliance Working Group will hold a videoconference meeting via Zoom on Tuesday, June 22, from 2:00 p.m. to 3:30 p.m. ET. We encourage attendees to use the video option during the meeting. If you prefer not to use the Zoom platform, you may dial into the meeting.

On May 5, 2021, the House Ways and Means Committee held a markup of H.R. 2954, the “Securing a Strong Retirement Act of 2021,” and approved the bill by voice vote. The overwhelmingly bipartisan nature of the markup suggests the package would have little trouble passing the full House...