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ICI Default BG
Memo#
35326

SEC Chair Gensler's Remarks Before ICI's Leadership Summit

At ICI's 2023 Leadership Summit, SEC Chair Gensler delivered remarks which focused on fund dilution and liquidity and how it relates to financial stability, outstanding SEC rule proposals related to money market funds and liquidity risk management, hard close, and swing pricing, and...
ICI Default BG
Memo#
35322

ICI Files Comment Letters on SEC Cyber Program Proposals

As we previously informed you, in March 2023, the SEC published for comment proposed rules that would require various registrants, including broker-dealers and transfer agents among others, to adopt and implement written cybersecurity risk programs.
ICI Default BG
Memo#
35312

SEC Adopts Amendments to Form PF

On May 3, 2023, the Securities and Exchange Commission (SEC or the "Commission") adopted a final rule amending Form PF, the confidential reporting form for certain registered investment advisers to private funds. Form PF provides information to the SEC and the Financial Stability...
ICI Default BG
Memo#
35286

SEC Adopts Enhanced Share Repurchase Disclosure Requirements

Last week, the Securities and Exchange Commission adopted amendments that will require enhanced disclosure when an issuer repurchases its own equity securities. The amendments will require an issuer, including exchange-traded closed-end funds registered under the Investment Company...
ICI Default BG
Memo#
35232

ICI Files Letter with New York Department of Financial Services on Presumption of Control Applicable to Investments in Certain State-Regulated Financial Institutions by an Investment Manager's Regulated Funds and Other Accounts

Late last week, ICI responded to the New York Department of Financial Services' December 2022 industry letter (NYDFS Letter) on the presumption of control that applies to certain financial institutions regulated under the New York Banking Law. ICI's response is attached.