Transfer Agent Advisory Content

[32021] October 24, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[32017] October 21, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Privacy State Issues RE: Important...

[31993] October 4, 2019 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Disclosure Exchange-Traded Funds (ETFs) Money Market Funds Transfer Agency Variable Insurance Products RE: ICI Letter on Member Firms' Preferences and Costs Associated with SEC Staff's...

[31957] September 10, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...

[31921] August 28, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Abandoned Property and Escheatment Pension RE: ICI Submits Written Statement to ERISA Advisory Council on Permissive Transfers of Uncashed Checks from ERISA Plans to State...

[31918] August 22, 2019 TO: Transfer Agent Advisory Committee RE: Registration Now Open: November 13-14, 2019 Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, November 13 from 2:00 p.m. to 5:00 p.m. ET and...

[31916] August 22, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Issues Proxy-Related Guidance to Investment Advisers and Proxy Advisory Firms On August 21...

[31917] August 22, 2019 TO: ICI Members ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee...