Transfer Agent Advisory Content

[32819] October 9, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent...

[32815] October 8, 2020 TO: ICI Members SUBJECTS: Anti-Money Laundering Compliance Transfer Agency RE: Register for ICI's October 23rd Call to Discuss FinCEN's Advance Notice of Proposed Rulemaking Regarding Anti-Money Laundering Program Effectiveness On September 16, 2020, FinCEN...

[32787] September 30, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Distribution...

[32792] September 30, 2020 TO: ICI Members Operations Committee Privacy Issues Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Privacy State Issues RE: California Extends Privacy Law Exclusion for Employee Information Until January 1, 2022 As...

[32789] September 29, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Finalizes Regulation on Default Withholding for Periodic Payments from Retirement Plans and Annuities...

[32779] September 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers Operations Portfolio Oversight Transfer Agency RE: SEC Adopts Amendments to Shareholder Proposal Rule (Rule 14a-8) This week...

[32755] September 14, 2020 TO: ICI Members Accounting/Treasurers Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee Money Market Funds Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory...

[32756] September 14, 2020 TO: Transfer Agent Advisory Committee RE: Registration Now Open for November 11-12, 2020 Transfer Agent Advisory Committee Virtual Meeting ICI’s Transfer Agent Advisory Committee will hold a videoconference meeting via Zoom on Wednesday, November 11, from 2...

[32747] September 9, 2020 TO: Transfer Agent Advisory Committee RE: Mark Your Calendar - 2021 TAAC Meeting Schedule Please mark your calendar with the following Transfer Agent Advisory Committee meetings scheduled in 2021: February 3-4, 2021 Virtual meeting via Zoom May 4-5, 2021*...