Transfer Agent Advisory Content

[32192] February 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter on the SEC's Proxy Advice and Rule 14a-8...

[32179] January 28, 2020 TO: Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Cybersecurity RE: OCIE Publishes Its Cybersecurity and Resiliency Observations OCIE has...

[32170] January 23, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: ICI Sends Letter to...

[32164] January 21, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Disclosure Investment Advisers...

[32162] January 17, 2020 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[32149] January 16, 2020 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on SEC Advisers Act Advertising and Cash Solicitation Rule Proposal; Feedback...

[32151] January 16, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Issues New Interim Guidance on the Default Withholding Rate for Retirement and Annuity Distributions...

[32131] January 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity...

[32123] December 23, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Operations Transfer Agency RE: ICI Submits Report to the SEC on the Fund Proxy System In June, ICI submitted a comment letter to the SEC on the...