Transfer Agent Advisory Content

[31240] June 7, 2018 TO: Transfer Agent Advisory Committee RE: Registration Now Open: July 25-26, 2018 Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, July 25 from 1:00 p.m. to 5:00 p.m. ET and on Thursday...

[31232] June 4, 2018 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Operations Transfer Agency RE: SEC Grants ICI No-Action Relief Permitting Funds to...

[31225] May 30, 2018 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension RE: IRS Guidance on Reporting and Withholding for Payments from IRAs to State Unclaimed Property Funds The IRS has...

[31215] May 18, 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: ICI Submits...

[31185] April 26, 2018 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee SUBJECTS...

[31174] April 19, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight Investment Advisers Operations Pension Transfer Agency RE: SEC Releases Proposals on Standards of Conduct for Broker-Dealers and...

[31165] April 13, 2018 TO: ICI Members Accounting/Treasurers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Money Market Funds Operations Portfolio Oversight Recordkeeping RE: SEC Staff...

[31162] April 11, 2018 TO: ICI Members SUBJECTS: Anti-Money Laundering Compliance Operations Transfer Agency RE: FinCEN Issues New Customer Due Diligence FAQs; OFAC Issues Cryptocurrency FAQs The Financial Crimes Enforcement Network (FinCEN) issued additional FAQs related to its...

[31136] March 16, 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 Proposes...

[31117] March 6, 2018 TO: ICI Members Investment Company Directors ICI Global MembersBank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Investment Advisers Transfer Agency RE: SEC Charges Broker-Dealer...