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ICI Viewpoints

What We Learned at the 2024 Investment Management Conference

March 25, 2024—Set against the backdrop of continued regulatory and legislative uncertainty, the 2024 Investment Management Conference (IMC) offered compliance professionals and other industry leaders the insights they need to navigate the ever-changing set of rules that govern asset...
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Comment Letter

ICI and IDC Supplemental PCAOB NOCLAR Comment Letter

March 18, 2024—The Investment Company Institute and Independent Directors Council filed a joint supplemental comment letter on the Public Company Accounting Oversight Board's (PCAOB) proposed amendments to the auditing standards related to a company's noncompliance with laws and...
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Memo#
35653

ICI and IDC File Supplemental PCAOB NOCLAR Comment Letter

On March 18, 2024, the Investment Company Institute and Independent Directors Council filed a joint supplemental comment letter on the Public Company Accounting Oversight Board's (PCAOB) proposed amendments to the auditing standards related to a company's noncompliance with laws and...
ICI Default BG
Memo#
35648

ICI Files Follow-Up Comment Letter on Proposed Amendments to FINRA Rule 2210

In late February, FINRA proposed to further amend Rule 2210. The amended proposal would permit a FINRA member to project performance or provide a targeted return with respect to a security or asset allocation or other investment strategy in an institutional communication solely to...