Transfer Agent Advisory Content

[32908] November 11, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Registration Now Open for ICI's December 14, 2020 AML Compliance Working Group Virtual Meeting ICI’s AML Compliance Working Group will hold a videoconference meeting via Zoom on Monday...

[32900] November 5, 2020 TO: ICI Members Investment Company Directors Operations Committee SEC Rules Committee Securities Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: COVID-19 Fund Governance Operations Transfer Agency RE: AMAC Recommends that SEC Change...

[32891] November 3, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF (Exchange-Traded Funds) Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent...

[32890] November 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight RE: SEC's New Rule on Funds' Use of Derivatives...

[32892] November 3, 2020 TO: ICI Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Bank-Affiliated Member Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee SUBJECTS: Fund...

[32886] November 2, 2020 TO: ICI Members Investment Company Directors 1940 Act Derivatives Working Group SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight...

[32851] October 20, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Abandoned Property and Escheatment Pension RE: IRS Guidance Clarifies Tax Implications of Payments from Qualified Plans to State Unclaimed Property Funds, Including Extension of...