Transfer Agent Advisory Content

[31634] March 1, 2019 TO: ICI Members SUBJECTS: Compliance Cybersecurity Disclosure Fund Accounting & Financial Reporting Investment Advisers Recordkeeping RE: SEC Adopts Rules Modifying the Timing for Filing Non-Public Form N-PORT Data The Securities and Exchange Commission recently...

[31629] February 25, 2019 TO: Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: ICI Draft Comment Letter to SEC on Proxy Voting: Comments...

[31613] February 14, 2019 TO: ICI Members Operations Committee Transfer Agent Advisory Committee SUBJECTS: Operations Transfer Agency RE: OCIE Publishes Risk Alert on Transfer Agent Safeguarding of Funds and Securities The SEC’s Office of Compliance Inspections and Examinations (OCIE)...

[31579] January 25, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Transfer...

[31576] January 24, 2019 TO: ICI Members Investment Company Directors Operations Committee Processing Fees Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary...

The Investment Company Institute and Independent Directors Council filed an amicus curiae (“friend of the court”) brief in Twin Rivers Paper Company, LLC. et. al. v. United States Securities and Exchange Commission. The case concerns a challenge to recently adopted Investment Company...

[31538] December 31, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity Exchange-Traded Funds (ETFs) Fixed Income Securities...