Transfer Agent Advisory Content

[33510] April 28, 2021 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: ICI Joins Other Trades in Asking IRS for Changes to Draft Forms W-4P and W-4R The attached letter, signed by...

[33475] April 16, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension RE: DOL Issues...

In December, the SEC adopted new Rule 2a-5 (the “fair value rule”) under the Investment Company Act, which addresses the fair valuation responsibilities of funds and their boards and advisers.

[33451] April 13, 2021 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Register for ICI's April 22nd Call to Discuss FinCEN's Advance Notice of Proposed Rulemaking Soliciting Public Comment on the Implementation of the Beneficial Ownership Information Reporting...

[33487] April 19, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure ESG Fund Governance Investment Advisers Operations Portfolio Oversight Transfer Agency RE: SEC Reopens Comment Period for Its 2016 Universal Proxy Proposal In 2016, the SEC proposed...

[33486] April 19, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Staff Announces Termination of March 2020...

[33485] April 19, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...