Transfer Agent Advisory Content

[32327] March 26, 2020 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations...

[32316] March 25, 2020 TO: ICI Members SUBJECTS: Transfer Agency RE: SEC Issues COVID-19-Related Exemptive Relief for Transfer Agents Through May 30, 2020 On March 20, the SEC announced temporary conditional regulatory relief for registered transfer agents and other regulated persons...

[32318] March 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight...

[32317] March 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Division of Investment Management...

[32314] March 24, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Provides Temporary Interfund Lending...

[32313] March 24, 2020 TO: ICI Members Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers Operations Recordkeeping RE: NFA Provides Relief to CPOs and...

[32307] March 23, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight Settlement Technology & Business Continuity...

[32306] March 23, 2020 TO: ICI Members Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers Operations Recordkeeping RE: CFTC Staff Issues No-Action...

[32298] March 18, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Distribution Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Operations Technology & Business Continuity Transfer Agency Valuation RE: 2016 ICI Memo...

[32295] March 17, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory CommitteeInternal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Operations Committee Pension Committee Pension Operations...