Compliance Content

Independent directors and chief compliance officers (CCOs) form an important team on behalf of fund shareholders. In the May 26, 2017, edition of Focus on Funds, veteran independent director Kathie Barr describes the evolving relationship between boards and CCOs.

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March 27, 2017 Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, D.C. 20006-1506 Re: Communications with the Public, FINRA Regulatory Notice 17-06 (February 2017) Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to...

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August 23, 2016 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Adviser Business Continuity and Transition Plans Proposal (File No. S7-13-16) Dear Mr. Fields: The Investment Company Institute1 appreciates the opportunity to...

ppr_16_ficca.pdf

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U.S. Securities and Exchange Commission Chair Mary Jo White laid out a list of SEC priorities in her appearance at ICI’s General Membership Meeting. In the May 26, 2016, edition of Focus on Funds, ICI General Counsel David Blass breaks down the list for funds and their investors.