Transfer Agent Advisory Content

[32457] May 13, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Operations Transfer Agency Variable Insurance Products RE: Important Information Regarding ICI Involvement with Third-Party...

[32435] May 4, 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 Municipal Securities Advisory Committee Operations Committee...

[32423] April 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...

[32409] April 23, 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 Transfer Agency Unit...

[32388] April 14, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Operations Technology & Business Continuity Transfer Agency Variable Insurance Products RE: SEC Division of Investment Management...

[32382] April 13, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Trading and Markets RE: CFTC Extends Comment Deadlines for Several Open Proposals In light of challenges caused by the COVID-19 pandemic...