Transfer Agent Advisory Content

[30649] March 20, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Derivatives Investment Advisers Recordkeeping Technology & Business Continuity Trading and Markets RE: ICI...

[30602] February 24, 2017 TO: ICI Members AML Compliance Working Group Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Operations...

[30590] February 21, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Investment Advisers...

[30582] February 13, 2017 TO: Transfer Agent Advisory Committee RE: Registration Now Open: May 2-3, 2017, Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, May 2 from 1:00 p.m. to 5:00 p.m. ET and on Wednesday...

[30553] January 31, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee Small Funds Committee...

[30550] January 30, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30540] January 25, 2017 TO: ICI Members SUBJECTS: 529 Plans Tax Transfer Agency RE: ICI Submits Letter to IRS Requesting Guidance on Recontributions to 529 Plans The Institute submitted the attached letter to the Internal Revenue Service (IRS) requesting guidance on the...

[30527] January 18, 2017 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: ICI Call Scheduled for February 2 (2:00 pm ET) to Discuss FinCEN's Cyber Advisory The Financial Crimes Enforcement Network (“FinCEN”) issued an advisory to financial institutions on cyber...

[30512] January 11, 2017 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations...

[30503] January 5, 2017 TO: Tax Committee Transfer Agent Advisory Committee RE: IRS Guidance on De Minimis Error Safe Harbor from Information Reporting Penalties The Internal Revenue Service (“IRS”) recently issued Notice 2017-09 regarding the de minimis error safe harbor from...