Transfer Agent Advisory Content

[30076] July 28, 2016 TO: TAX MEMBERS No. 14-16 TRANSFER AGENT ADVISORY COMMITTEE No. 31-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-16 BROKER/DEALER ADVISORY COMMITTEE No. 25-16 OPERATIONS COMMITTEE No. 16-16 ACCOUNTING/TREASURERS COMMITTEE No. 15-16 CLOSED-END INVESTMENT...

The Uniform Law Commission (ULC) is a body charged with drafting laws to address issues of interest to the various states in order to better ensure uniformity in such laws (the Uniform Commercial Code is one such law).

[30045] July 18, 2016 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 29-16 RE: MARK YOUR CALENDAR - 2017 TAAC MEETING SCHEDULE   Please mark your calendar for the following Transfer Agent Advisory Committee meetings scheduled in 2017: February 1-2, 2017 May 2-3, 2017* July 19-20, 2017...

[30040] July 15, 2016 TO: AML COMPLIANCE WORKING GROUP No. 3-16 TRANSFER AGENT ADVISORY COMMITTEE No. 28-16 RE: IN-PERSON MEETING FOR AML COMPLIANCE WORKING GROUP: FRIDAY, SEPTEMBER 9, 2016   The Investment Company Institute will host an in-person meeting of the AML Compliance Working...

[30025] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-16 BROKER/DEALER ADVISORY COMMITTEE No. 22-16 CHIEF RISK OFFICER COMMITTEE No. 15-16 COMPLIANCE ADVISORY COMMITTEE No. 5-16 INVESTMENT ADVISERS COMMITTEE No. 10-16...

[30017] July 7, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 16-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 19-16 BROKER/DEALER ADVISORY COMMITTEE No. 21-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 15-16 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 13-16 OPERATIONS MEMBERS No...

[30010] July 5, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-16 BROKER/DEALER ADVISORY COMMITTEE No. 20-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-16 CHIEF RISK OFFICER COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 4-16 INVESTMENT ADVISERS COMMITTEE No. 9-16...

[29990] June 20, 2016 TO: OPERATIONS MEMBERS No. 17-16 SMALL FUNDS MEMBERS No. 25-16 STATE SECURITIES MEMBERS No. 3-16 TRANSFER AGENT ADVISORY COMMITTEE No. 24-16 RE: TEXAS REVISES ITS BLUE SKY RULES TO PRESERVE REDUCED FEES FOR MONEY MARKET FUNDS FOLLOWING THE SEC’S REFORMS   As you...

[29973] June 9, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 17-16 BROKER/DEALER ADVISORY COMMITTEE No. 18-16 CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE COMPLIANCE MEMBERS No. 16-16 OPERATIONS MEMBERS No. 16-16 SMALL FUNDS MEMBERS No. 23-16 TECHNOLOGY...

[29969] June 8, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 16-16 BROKER/DEALER ADVISORY COMMITTEE No. 17-16 COMPLIANCE MEMBERS No. 15-16 OPERATIONS MEMBERS No. 15-16 TRANSFER AGENT ADVISORY COMMITTEE No. 22-16 RE: ALABAMA ENACTS LAW EFFECTIVE JULY 1, 2016 TO PROTECT...