Accounting/Treasurers Content

[31760] May 15, 2019 TO: Accounting/Treasurers Committee RE: ICI Letter to PCAOB Recommending Changes to Audit Opinion The Institute recently filed the attached letter with the Public Company Accounting Oversight Board recommending a change to fund audit opinions. Recently effective...

[31685] March 28, 2019 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Cybersecurity Derivatives Fund Accounting & Financial Reporting Investment Advisers Operations Risk Oversight RE: Updates on...

[31678] March 26, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Operations Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Adopts FAST Act-Related Disclosure Amendments for Funds and...

[31673] March 21, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Disclosure Fund Accounting & Financial Reporting RE: ICI Files Comment Letter on SEC Public Company Reporting Regime Last December, the Securities and Exchange Commission requested public comment on the...

[31661] March 21, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee International Operations Advisory Committee Operations Committee Series Trust Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[31638] March 5, 2019 TO: ICI Members SUBJECTS: Compliance Fees and Expenses Fund Accounting & Financial Reporting Intermediary Oversight Operations Transfer Agency RE: Action Required - Register to Participate in 2019 ICI Mutual Fund Transfer Agents Trends & Billings Practices Survey...

[31636] March 4, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers RE: FINRA Staff Permits Pre-Inception Index Performance in Institutional Communications for Open-End Funds In late January, FINRA...

[31634] March 1, 2019 TO: ICI Members SUBJECTS: Compliance Cybersecurity Disclosure Fund Accounting & Financial Reporting Investment Advisers Recordkeeping RE: SEC Adopts Rules Modifying the Timing for Filing Non-Public Form N-PORT Data The Securities and Exchange Commission recently...

[31615] February 15, 2019 TO: ICI Members Investment Company Directors Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Fees and Expenses Investment Advisers Variable Insurance Products RE: ICI Files Comment Letter with SEC on Variable Insurance Products Summary...

[31592] February 4, 2019 TO: Accounting/Treasurers Committee RE: Draft Letter to PCAOB Recommending Changes to Multi-Fund Audit Options Recently effective requirements in AS 3101, The Auditor’s Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified...