Broker/Dealer Advisory Content

On October 10, ICI filed a comment letter with the Securities and Exchange Commission (SEC or "Commission") on its proposal regarding conflicts of interest associated with the use of predictive data analytics (PDA) and other "covered technologies" by broker-dealers and investment...

On August 25, 2023, the SEC's Division of Enforcement announced that it had settled a case brought against two affiliated dually registered broker-dealers and investment advisers ("Respondents") for violating the anti-fraud provisions of the Investment Advisers Act (the "Act") by...

On September 28, 2023, ICI submitted a letter regarding proposed amendments to the Wyoming Secretary of State's Securities Rules that would "require disclosure of Environmental, Social, and Governance ('ESG') investment strategies by requiring investment advisers [and their...

The ICI Year-End Reporting Layouts have been modified for improved functionality.

ICI Global has filed comments with the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) regarding their recent Consultations on liquidity risk management in open-ended funds (OEFs). This memorandum summarizes ICI Global's comments.