Transfer Agent Advisory Content

[31914] August 21, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Anti-Money Laundering International/Global Operations Trading and Markets RE: Monetary Authority of Singapore (MAS) Issues Consultation on the Requirements on...

[31909] August 20, 2019 TO: ICI 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 SUBJECTS: Fund Accounting...

[31907] August 19, 2019 TO: ICI Members Investment Company Directors SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Disclosure Litigation & Enforcement RE: DC Court of Appeals Denies Petition Seeking Review of SEC Rule 30e-3 On August 16, 2019, the US Court of Appeals...

[31840] July 9, 2019 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: In-Person Meeting for AML Compliance Working Group: Tuesday, September 17, 2019 The Investment Company Institute will host an in-person meeting of the AML Compliance Working Group on Tuesday...

[31828] June 27, 2019 TO: Operations Committee Transfer Agent Advisory Committee RE: SEC Staff Clarifies the Pricing of Securities in Connection with Investment Companies' Use of Check Hold Periods In 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) raised an...

[31822] June 24, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Closed-End Funds Derivatives Exchange-Traded Funds (ETFs) Fixed Income Securities Investment Advisers Systemic Risk Trading and Markets Transfer Agency Variable Insurance Products RE: ICI Summary of Spring...