Accounting/Treasurers Content

A joint meeting of the Accounting/Treasurers Committee and the Independent Accountants Advisory Group will be held in person on Wednesday, December 14 at the offices of the Investment Company Institute, 1401 H Street, NW, Washington, DC. The meeting will be held from 10:00 a.m...

Earlier this week, ICI submitted supplemental comments (linked below) on the SEC's 2020 disclosure proposal for open-end funds ("funds"). On September 15, the SEC's Office of the Investor Advocate filed with the SEC a research paper on funds' choice of performance benchmarks and...

On August 26, 2022, the Public Company Accounting Oversight Board (PCAOB) announced that it had signed a Statement of Protocol with the China Securities Regulatory Commission and the Ministry of Finance of the People's Republic of China regarding the PCAOB's ability to completely...

In June, the SEC issued a request for comment on index providers, model portfolio providers, and pricing services.

The staff of the Securities and Exchange Commission recently issued a Staff Bulletin providing guidance on the application of standards of conduct relevant to broker-dealers and investment advisers in identifying and addressing conflicts of interest.

As you may recall, in June 2022, the Institute filed suit against the California Department of Financial Protection and Innovation (DFPI) to challenge the Department's authority to increase the notice filing fees it imposed on investment companies.

In June, the SEC issued a request for comment on index providers, model portfolio providers, and pricing services.

On July 26, William Birdthistle, Director of the SEC's Division of Investment Management, gave a speech on current issues and trends in investment management at the Practicing Law Institute Investment Management 2022 program.

Last month, the Securities and Exchange Commission (SEC or "Commission") adopted final rules and form amendments to mandate electronic filing of certain documents that are currently filed in paper format.

Last week, the SEC issued a request for comment on index providers, model portfolio providers, and pricing services ("information providers").