Transfer Agent Advisory Content

[28487] October 27, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 69-14 RE: VERMONT AFFIRMS THAT DOCUMENTED PHONE CONTACT CONSTITUTES “CONTACT” FOR ABANDONED PROPERTY PURPOSES   As you know, as part of our work to assist our members with understanding state abandoned property laws...

[28478] October 23, 2014 TO: ACCOUNTING/TREASURERS MEMBERS No. 13-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 45-14 BROKER/DEALER ADVISORY COMMITTEE No. 52-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 29-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 25-14 OPERATIONS MEMBERS...

[28469] October 16, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 26-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 44-14 BROKER/DEALER ADVISORY COMMITTEE No. 51-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 27-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 24-14 OPERATIONS...

[28441] October 9, 2014 TO: AML COMPLIANCE WORKING GROUP No. 5-14 BROKER/DEALER ADVISORY COMMITTEE No. 50-14 SEC RULES COMMITTEE No. 36-14 TRANSFER AGENT ADVISORY COMMITTEE No. 66-14 RE: ICI COMMENT LETTER ON FINCEN CUSTOMER DUE DILIGENCE PROPOSAL   On October 2, 2014, the Institute...

Earlier this year [1] the Institutes’ Board of Governors endorsed the industry project for shortening the U.S. settlement cycle for equities, corporate and municipal bonds and unit investment trust securities from trade date plus three days (T+3) to trade date plus two days (T+2).

[28429] October 2, 2014 TO: PRINCIPAL UNDERWRITERS WORKING GROUP BROKER/DEALER ADVISORY COMMITTEE No. 47-14 TRANSFER AGENT ADVISORY COMMITTEE No. 64-14 RE: FINRA PROPOSAL RELATING TO CUSTOMER ACCOUNT STATEMENTS; COMMENTS REQUESTED BY FRIDAY, OCTOBER 10   As you may recall, in May 2009...

[28410] September 29, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 62-14 RE: MARK YOUR CALENDAR - 2015 TAAC MEETING SCHEDULE   Please mark your calendar for the following Transfer Agent Advisory Committee meetings scheduled in 2015: February 4-5, 2015 ICI - Washington, D.C. May 5-6...

[28411] September 29, 2014 TO: PENSION MEMBERS No. 39-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 42-14 TRANSFER AGENT ADVISORY COMMITTEE No. 63-14 OPERATIONS MEMBERS No. 15-14 RE: IRS ISSUES FINAL REGULATIONS REGARDING ELECTRONIC FILING OF CERTAIN RETIREMENT PLAN RETURNS  ...

[28405] September 25, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-14 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-14 BROKER/DEALER ADVISORY COMMITTEE No. 46-14 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 25-14 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 21-14 OPERATIONS...

[28395] September 23, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-14 OPERATIONS COMMITTEE No. 40-14 TRANSFER AGENT ADVISORY COMMITTEE No. 60-14 RE: ICI SURVEY ON INTERMEDIARY OVERSIGHT PRACTICES   A sub-group of ICI’s Chief Compliance Officer Committee, Operations Committee, and...