Transfer Agent Advisory Content

[29242] August 11, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 18-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 29-15 BROKER/DEALER ADVISORY COMMITTEE No. 39-15 CHIEF RISK OFFICER COMMITTEE No. 20-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 26-15 COMPLIANCE MEMBERS No. 23-15...

[29229] August 6, 2015 TO: TAX MEMBERS No. 17-15 TRANSFER AGENT ADVISORY COMMITTEE No. 39-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 28-15 BROKER/DEALER ADVISORY COMMITTEE No. 38-15 OPERATIONS COMMITTEE No. 17-15 ACCOUNTING/TREASURERS COMMITTEE No. 22-15 CLOSED-END...

[29204] July 30, 2015 TO: PENSION MEMBERS No. 24-15 OPERATIONS MEMBERS No. 25-15 SMALL FUNDS MEMBERS No. 34-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 27-15 BROKER/DEALER ADVISORY COMMITTEE No. 37-15 TRANSFER AGENT ADVISORY COMMITTEE No. 38-15 RE: INSTITUTE COMMENT LETTERS...

[29177] July 14, 2015 TO: TAX MEMBERS No. 16-15 TRANSFER AGENT ADVISORY COMMITTEE No. 36-15 RE: INCREASE IN INFORMATION REPORTING PENALTIES   Recently enacted legislation includes increases to the information reporting penalties under sections 6721 (Failure to File Correct Information...

[29164] July 10, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-15 BROKER/DEALER ADVISORY COMMITTEE No. 32-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-15 END OF DAY PRICING FORUM No. 4-15 INDEPENDENT DIRECTORS COUNCIL No. 1-15...

[29166] July 10, 2015 TO: AML COMPLIANCE WORKING GROUP No. 1-15 TRANSFER AGENT ADVISORY COMMITTEE No. 35-15 RE: IN-PERSON MEETING FOR AML COMPLIANCE WORKING GROUP - FRIDAY, SEPTEMBER 11, 2015   The Investment Company Institute will host an in-person meeting of the AML Compliance...

[29150] July 8, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 31-15 OPERATIONS MEMBERS No. 24-15 PRINCIPAL UNDERWRITERS WORKING GROUP TRANSFER AGENT ADVISORY COMMITTEE No. 33-15 RE: FINRA SANCTIONS FUND DISTRIBUTORS FOR FAILING TO WAIVE FEES IN ACCORDANCE WITH FUND PROSPECTUSES  ...

[29144] July 6, 2015 TO: 529 PLAN MEMBERS No. 7-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 22-15 BROKER/DEALER ADVISORY COMMITTEE No. 30-15 OPERATIONS MEMBERS No. 23-15 PENSION MEMBERS No. 23-15 TRANSFER AGENT ADVISORY COMMITTEE No. 32-15 RE: IRS ISSUES PROPOSED ABLE ACT...

[29141] July 2, 2015 TO: OPERATIONS COMMITTEE No. 13-15 ACCOUNTING/TREASURERS COMMITTEE No. 16-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 21-15 BROKER/DEALER ADVISORY COMMITTEE No. 29-15 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 22-15 SMALL FUNDS COMMITTEE No. 17-15 TRANSFER...

A white paper has been published by the Industry Steering Committee (ISC) to shorten the U.S. Securities Settlement cycle that summarizes industry level requirements, including regulatory changes, which are necessary for the migration from trade date plus three days (T+3) to trade...