Transfer Agent Advisory Content

[31765] May 16, 2019 TO: ICI Members ICI Global Members AML Compliance Working Group Chief Compliance Officer Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Anti-Money Laundering Compliance International/Global Litigation...

[31725] April 23, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance...

[31708] April 10, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Staff Issues Liquidity FAQ on Extended Holiday...

[31674] March 21, 2019 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Survey on Information Sharing under Section 314(b) of the USA PATRIOT Act Section 314(b) of the USA PATRIOT Act provides financial institutions (including mutual funds) with the ability to...

[31661] March 21, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee International Operations Advisory Committee Operations Committee Series Trust Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[31659] March 15, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter to SEC on Proxy Voting In 2018, proxy voting policy matters took on...

[31638] March 5, 2019 TO: ICI Members SUBJECTS: Compliance Fees and Expenses Fund Accounting & Financial Reporting Intermediary Oversight Operations Transfer Agency RE: Action Required - Register to Participate in 2019 ICI Mutual Fund Transfer Agents Trends & Billings Practices Survey...

[31635] March 4, 2019 TO: Transfer Agent Advisory Committee RE: Registration Now Open: April 30 - May 1, 2019 Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, April 30 from 1:00 p.m. to 5:00 p.m. ET and on...