Accounting/Treasurers Content

[31223] May 30, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31215] May 18, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: ICI Submits...

[31208] May 14, 2018 TO: Accounting/Treasurers Committee Auditor Independence Working Group Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: ICI Call on May 24 to Discuss SEC Auditor Independence Loan Rule Proposal The Securities and Exchange...

[31196] May 14, 2018 TO: Accounting/Treasurers Committee Independent Accountants Advisory Group RE: Accounting/Treasurers Committee Meeting-- June 21, 2018 A joint meeting of the Accounting/Treasurers Committee and the Independent Accountants Advisory Group has been scheduled for...

[31198] May 7, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting RE: SEC Proposes Amendments to Auditor Independence Loan Rule On May 2, the Securities and Exchange Commission issued for...

[31194] May 3, 2018 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee Municipal...

[31189] May 2, 2018 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers Variable Insurance Products RE: FINRA Staff Issues Guidance Permitting Related Performance Information in Institutional Communications...

[31190] May 2, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Updates FAQs on Fund Reporting Rules to Address N-SAR Filing Obligations The Division of Investment Management of the Securities and Exchange Commission (“SEC”)...

[31185] April 26, 2018 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee SUBJECTS...

[31178] April 20, 2018 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Announces Changes to Its Broadly Distributed Pooled Fund Guidance Statement This week...