Transfer Agency Content

The e Investment Company Institute submitted a letter to 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...

The Investment Company Institute appreciates the opportunity to provide its comments on the proposal by the Securities Exchange Commission (the Commission or SEC) to require various SEC-covered entities, including broker-dealers and transfer agents, to adopt and implement written...

Washington, DC; January 30, 2023—Today, Investment Company Institute (ICI) President and CEO Eric Pan released the following statement on the House of Representatives’ passage of H.R. 500, the Financial Exploitation Prevention Act. The bill, authored by Rep. Ann Wagner (MO-2), would...

In July 2022, the SEC proposed amendments to Rule 14a-8 (the shareholder proposal rule) by a 3-2 vote. The proposal would narrow three bases upon which companies may exclude shareholder proposals from their proxy statements: the “substantial implementation, ” “duplication, ” and...