Transfer Agent Advisory Content

[31320] August 7, 2018 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 Sales and Marketing Committee...

[31319] August 7, 2018 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee Small Funds Committee Transfer Agent Advisory Committee RE: C-Share (Level Load) Conversion: Operational Considerations White...

[31314] August 6, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Announces Staff Roundtable on the Proxy Process In a July 30 statement, SEC...

[31310] August 1, 2018 TO: ICI Members 529 Plan Advisory Committee ABLE Act Working Group Tax Committee SUBJECTS: 529 Plans Tax Transfer Agency RE: IRS Announces Guidance on 529 Plan Recontributions, Rollovers from 529 Plans to ABLE Accounts, and Elementary and Secondary School...

[31279] July 13, 2018 TO: ICI Members AML Compliance Working Group Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Money Market Funds Advisory Committee Money Market Working Group Operations Committee SEC Rules Committee...

[31274] July 3, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Adopts...

[31273] July 2, 2018 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: In-Person Meeting for AML Compliance Working Group: Thursday, September 20, 2018 ICI will host an in-person meeting of the AML Compliance Working Group on Thursday, September 20, 2018 from 10...

[31268] June 29, 2018 TO: Transfer Agent Advisory Committee RE: Mark Your Calendars - 2019 TAAC Meeting Schedule Please mark your calendar with the following Transfer Agent Advisory Committee meetings scheduled in 2019: February 6-7, 2019April 30-May 1, 2019*July 24-25, 2019November...

[31250] June 19, 2018 TO: Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Conference Call on Response to SEC Request for Comment on Processing Fees As you know, the Commission recently requested comment on the overall framework for...

[31243] June 8, 2018 TO: ICI Members Investment Company Directors SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee Variable Insurance Products Advisory Committee SUBJECTS: Compliance Disclosure Operations Transfer Agency RE: Summary of SEC Final Rule 30e-3...