LEGAL & REGULATORY

Important Notices

Doc # Date Business Category Subject
  • a8429
  • Aug 04, 2017
  • Wealth-Management-Services
  • REVISED - AIP NON-TRADED REIT/BDC ORDER REDEMPTION PROCESSING & ADDITIONAL PRODUCTION OUTBOUND CYCLE ENHANCEMENTS - 2017
  • a7701
  • May 15, 2014
  • Clearing-Services
  • Mutual Fund Services
  • ACATS-Fund/SERV Enhancements REVISED
  • a7825
  • Apr 24, 2014
  • Mutual Fund Services
  • MANAGER P&S DEPARTMENT Subject: MFPSII PROFILE SECURITY DATABASE – SOCIAL CODE MODIFICATIONS POSTPONED – NEW EFFECTIVE DATE IS JULY 28, 2014 – INCLUDES ADDITIONAL SOCIAL CODES
  • a7700
  • Apr 01, 2014
  • Clearing-Services
  • Mutual Fund Services
  • ENHANCEMENTS TO MUTUAL FUND-RELATED ACATS REVISED
  • IRSS001-14
  • Apr 01, 2014
  • Wealth-Management-Services
  • Revised Operating Procedures
  • a7807
  • Mar 24, 2014
  • Settlement-and-Asset-Services
  • Mutual Fund Services
  • MUTUAL FUND PROFILE SERVICE II - DISTRIBUTION DECLARATION DIVIDEND (042) REINVEST PRICE FIELD CHANGE / RECORD LAYOUT DOCUMENTATION UPDATE
  • a7670
  • Jan 24, 2014
  • Equities-Trade-Capture, Equities-Clearing-Services, Insurance and Retirement Services, Mutual Fund Services
  • CHANGES IN THE LIST OF PARTICIPANTS
  • a7668
  • Jan 17, 2014
  • Equities-Trade-Capture, Equities-Clearing-Services, Insurance and Retirement Services, Mutual Fund Services
  • CHANGES IN THE LIST OF PARTICIPANTS
  • a7667
  • Jan 13, 2014
  • Insurance and Retirement Services, Mutual Fund Services, Equities-Clearing-Services, Equities-Trade-Capture
  • MARTIN LUTHER KING, JR. DAY
  • a7666
  • Jan 10, 2014
  • Equities-Trade-Capture, Equities-Clearing-Services, Insurance and Retirement Services, Mutual Fund Services
  • CHANGES IN THE LIST OF PARTICIPANTS
Doc # Date Business Category Subject
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