Transfer Agent Advisory Content

[32567] June 29, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment COVID-19 Transfer Agency RE: Updated SEC Relief for Transfer Agents; Newly Issued Relief Related to Temporary International Mail Service Suspensions The Commission and staff recently provided several...

[32564] June 29, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group...

[32545] June 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Operations Committee Pension Committee Pension Operations...

[32534] June 18, 2020 TO: Transfer Agent Advisory Committee RE: Registration Now Open for ICI's July 15-16, 2020 Transfer Agent Advisory Committee Virtual Meeting ICI’s Transfer Agent Advisory Committee will hold a video conference meeting via Zoom on Wednesday, July 15, from 2:30 to...

[32530] June 16, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group...

[32495] May 29, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Distribution Operations Recordkeeping Settlement RE: ICI Operations White Papers...

[32488] May 28, 2020 TO: ICI Members SUBJECTS: Transfer Agency RE: SEC Extends COVID-19-Related Exemptive Relief for Transfer Agents Through June 30, 2020 On May 27, the SEC announced an extension of the temporary conditional regulatory relief for registered transfer agents and other...

[32492] May 28, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Proposes Regulation on Default Withholding for Periodic Payments from Retirement Plans and Annuities The...

[32470] May 20, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Save the Date: Annual AML Compliance Working Group Meeting, September 22 In lieu of our annual in-person AML Compliance Working Group meeting, we will be holding a virtual meeting on Tuesday...