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Forum Comment Letter on Transfer Agent Regulations

On April 14, 2016, the Forum submitted a comment letter in response to the SEC's concept release regarding the regulation of transfer agents. The release noted that omnibus account arrangements and increased presence of financial intermediaries have caused a reduction in transparency for fund transfer agents as to shareholder records. In its letter, the Forum urged the SEC to evaluate whether changes in its rules could provide funds and fund boards with complete information regarding the specific services performed by intermediaries and the fees for those services.

 
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