Transfer Agency Content

BTRAC fund members identified in early 2020 that improved transparency from the bank, trust, custody, and retirement channel is needed to better manage responsibilities for fund investors.

On February 12, 2025, the SEC staff rescinded prior guidance, reinstated previously rescinded guidance, and issued new guidance on the shareholder proposal rule (Rule 14a-8). Rule 14a-8 under the Exchange Act conditionally permits a company's shareholders to include proposals (i.e...

[36004] January 30, 2025 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Committee Chief Risk Officer Committee Global Information Security Officer Committee - London Global Information Security Officer Committee - Tokyo Operational Resiliency...

The North American Securities Administrators Association has been encouraging states to require mutual funds to submit state registration filings through an electronic filing system called Electronic Filing Depository that NASAA developed and maintains. Mutual funds are currently...

ICI submitted an analysis of tax implications resulting from recent SEC money market fund reforms to the U.S. Treasury and requested a meeting to discuss these tax issues.

The Financial Crimes Enforcement Network, a bureau of the U.S. Department of the Treasury issued a final rule requiring certain investment advisers to establish anti‑money laundering/countering the financing of terrorism (AML/CFT) programs pursuant to the Bank Secrecy Act and to...

The ICI Spreadsheets and instructions for use in reporting 2024 tax information are available on the ICI website, at: https://www.ici.org/year-end-tax-reporting. ICI members populate tax information in these spreadsheets on behalf of the regulated investment companies that they manage...

On June 28, the Financial Crimes Enforcement Network proposed amendments that would enhance anti-money laundering/countering the financing of terrorism program requirements for financial institutions already subject to AML/CFT requirements, including mutual funds. The Proposal is...