Transfer Agent Advisory Content

[31407] September 25, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31385] September 13, 2018 TO: Closed-End Investment Company Committee Investment Advisers Committee SEC Rules Committee Transfer Agent Advisory Committee Unit Investment Trust Committee RE: SEC Staff Withdraws Proxy Advisory Firm Related Letters and Chairman Clayton Issues Statement...

[31386] September 13, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Fund Governance Investment Advisers Transfer Agency Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Staff Withdraws Proxy Advisory Firm Related Letters and Chairman Clayton...

[31369] September 5, 2018 TO: Transfer Agent Advisory Committee RE: Registration Now Open: November 14-15, 2018 Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, November 14 from 1:00 p.m. to 5:00 p.m. ET and...

[31356] August 28, 2018 TO: Broker/Dealer Advisory Committee Chief Information Security Officer Advisory Committee Compliance Advisory Committee Operations Committee Transfer Agent Advisory Committee RE: FINRA Sanctions Broker-Dealer for Fraudulent Transfers Resulting from Hacking of...

[31349] August 24, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31342] August 20, 2018 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: Tax RE: 2018...

[31339] August 20, 2018 TO: ICI Members ABLE Act Working Group Tax Committee SUBJECTS: 529 Plans Tax Transfer Agency RE: IRS Announces Guidance on Contribution Limits Applicable to ABLE Accounts On August 3, 2018, the Internal Revenue Service (IRS) released Notice 2018-62, announcing...