Transfer Agent Advisory Content

[30990] December 21, 2017 TO: Chief Compliance Officer Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee RE: Servicing and Protecting Shareholders Affected by Disaster White Paper We are pleased to announce the publication of a new white paper...

[30982] December 15, 2017 TO: ICI Members Broker/Dealer Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Investment Advisers State Issues Transfer Agency RE: Texas Publishes Form for Financial Firms to Use to Report Suspected Financial Abuse Effective September 1, 2017...

[30973] December 11, 2017 TO: ICI Members Tax Committee Transfer Agent Advisory Committee SUBJECTS: 529 Plans Tax RE: Updated State Tax Survey - Mississippi There is an update to the Institute’s 2017 State Tax Survey. [1] Specifically, Mississippi has updated the guidance listed in...

[30969] December 8, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Audit Committees Closed-End Funds Compensation/Remuneration Compliance Cybersecurity Derivatives Exchange-Traded Funds (ETFs) Fixed Income Securities Fund Accounting & Financial Reporting Investment...

[30967] December 7, 2017 TO: Transfer Agent Advisory Committee RE: Registration Now Open: January 31-February 1, 2018, Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Wednesday, January 31 from 1:00 p.m. to 5:00 p.m...

[30965] December 6, 2017 TO: ICI Members Pension Committee Tax Committee Transfer Agent Advisory Committee SUBJECTS: 529 Plans Fund Accounting & Financial Reporting Tax RE: 2017 State Tax Survey The Institute’s 2017 surveys on state tax matters are now available on the Institute’s...

[30960] November 28, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension RE: DOL...

[30949] November 14, 2017 TO: ICI Members Operations Committee Small Funds Committee TAAC Abandoned Property Task Force Transfer Agent Advisory Committee SUBJECTS: Abandoned Property and Escheatment Operations Recordkeeping Transfer Agency RE: White Paper--Indication of Death: Common...

[30937] November 6, 2017 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...