CCO (Chief Compliance Officer) Content

[32398] April 20, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Intermediary Oversight Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ICI Files...

[32396] April 17, 2020 TO: ICI Members SUBJECTS: Advisory Contract Renewal Audit Committees Closed-End Funds Compliance Disclosure RE: SEC Staff Issues FAQs Related to COVID-19 The staff of the Securities and Exchange Commission’s Division of Investment Management (“IM”) recently...

[32395] April 16, 2020 TO: ICI Members ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: IOSCO Publishes Report on Sustainable...

[32388] April 14, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Operations Technology & Business Continuity Transfer Agency Variable Insurance Products RE: SEC Division of Investment Management...

[32382] April 13, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Trading and Markets RE: CFTC Extends Comment Deadlines for Several Open Proposals In light of challenges caused by the COVID-19 pandemic...

[32383] April 13, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Division of Corporation Finance Issues...

[32387] April 13, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension...

[32372] April 9, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee RE: COVID 19 - UK FCA's Expectations for SM&CR for Solo-Regulated Firms On 3 April...

[32373] April 9, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers...

[32380] April 9, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance RE: SEC Provides Temporary Flexibility to Business Development Companies to Provide Capital to Portfolio Companies On April 8, the Securities and Exchange Commission provided temporary exemptive relief [1] to...