Transfer Agent Advisory Content

For the eleventh year in a row, the SEC's Division of Examinations (EXAMS) has published its priorities for the coming year. Highlights of the Priorities are briefly described below.

On January 12, 2023, the Hong Kong Securities and Futures Commission (SFC) hosted a second industry workshop on ESG funds. The workshop focused on practical difficulties and questions that fund managers have encountered during the ESG fund application process, and in complying with...

Attached please find ICI's draft comment letter on the SEC's liquidity, swing pricing, hard close, and Form N-PORT proposal. We would appreciate it if you could consolidate your firm's comments and provide them to us (matt.thornton@ici.org, joanne.kane@ici.org, kenneth.fang@ici.org...