Transfer Agent Advisory Content

[32640] July 28, 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 Advisory...

[32636] July 24, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Adopts Proxy Advice Rule Amendments and Supplemental Guidance for Investment Advisers On...

[32611] July 17, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Bank Regulation Compliance International/Global Operations Recordkeeping RE: China Published Amended Fund Custody Rules to Allow Foreign Banks to be Fund Custodians...

[32604] July 16, 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: ICI Submits...

[32585] July 7, 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 Advisory...

[32581] July 6, 2020 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 Advisory...

[32568] July 1, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Operations Transfer Agency RE: SEC Spring Regulatory Agenda The Office of Management and Budget released the regulatory agendas...

[32566] June 29, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment Closed-End Funds Compliance COVID-19 Disclosure Fund Accounting & Financial Reporting Fund Governance International/Global Operations Technology & Business Continuity Transfer Agency Variable Insurance...