Transfer Agent Advisory Content

ICI's Transfer Agent Advisory Committee will meet virtually on Wednesday, July 27th and Thursday, July 28th.

The Office of Information and Regulatory Affairs released the Spring 2022 Unified Agenda of Regulatory and Deregulatory Actions on June 21, 2022.

As we informed you last week, the Institute recently filed suit against the California Department of Financial Protection and Innovation (DFPI) to challenge the Department's authority to change the manner in which it assesses notice filing fees on investment companies.

Last week the Institute filed a Complaint for Declaratory and Injunctive Relief against California's Department of Financial Protection and Innovation, which administers California's Blue Sky Law.

ICI's AML Compliance Working Group will hold a videoconference meeting via Zoom on Tuesday, June 21, from 2:00 p.m. to 3:30 p.m. ET. We encourage attendees to use the video option during the meeting.