Transfer Agent Advisory Content

[32965] December 4, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: SEC...

[32959] December 3, 2020 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Money Market Funds Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory...

[32956] December 2, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory...

[32941] November 24, 2020 TO: Chief Compliance Officer Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: SEC Adopts Rules to Accommodate Electronic Signatures On November 17, 2020, the SEC published a release announcing that...

[32927] November 20, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Transfer Agency RE: ICI Files Comment Letter with FinCEN on Its Advanced Notice of Proposed Rulemaking Regarding Anti-Money Laundering Program...

[32918] November 18, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Releases Draft Form and Instructions for Individuals' Reporting of Coronavirus...