7 November 2014 Reply form for the Call for evidence AIFMD passport and third country AIFMs Template for comments Date: 7 November 2014 3 Responding to this paper The European Securities and Markets Authority (ESMA) invites responses to the specific questions listed in the Call for...
January 9, 2015 Kym S. Arnone, Chair Lynnette Kelly, Executive Director Municipal Securities Rulemaking Board 1900 Duke Street, Suite 600 Alexandria, VA 22314 Re: Compliance Date for MSRB Rule G-45 Dear Ms. Arnone and Ms. Kelly: On behalf of the undersigned,1 we are writing to...
December 29, 2014 Mr. Brent Fields, Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: MSRB Rule G-3 Relating to Qualification Requirements For Municipal Advisors; File No. SR-MSRB-2014-08 Dear Mr. Fields: The Investment Company Institute...
December 22, 2014 Via email Financial Stability Surveillance Division Hong Kong Monetary Authority 55/F Two International Finance Centre 8 Finance Street, Central Hong Kong Supervision of Markets Division The Securities and Futures Commission 35/F Cheung Kong Center 2 Queen’s Road...
December 15, 2014 Marcia E. Asquith Office of the Corporate Secretary Financial Industry Regulatory Authority 1735 K Street NW Washington, DC 20006-1506 Re: FINRA Notice 14-50 Relating to Proposed “Pay to Play” Rules Dear Ms. Asquith: The Investment Company Institute1 appreciates the...
