CCO (Chief Compliance Officer) Content

[32271] March 9, 2020 TO: 1940 Act Derivatives Working Group Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee Money Market Funds Advisory Committee...

[32268] March 6, 2020 TO: Chief Compliance Officer Committee SEC Rules Committee Small Funds Committee Technology Committee Transfer Agent Advisory Committee RE: COVID-19 and SEC Exemptive Relief On March 4, 2020, the Securities and Exchange Commission (“SEC”) issued an order...

[32264] March 4, 2020 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee SEC Rules Committee SUBJECTS: Advisory Contract Renewal Audit Committees Fund Governance RE: SEC Guidance on Fund Board Meetings and Unforeseen or Emergency Circumstances related to...

[32256] March 2, 2020 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee SEC Rules Committee SUBJECTS: Advisory Contract Renewal Audit Committees Fund Governance RE: Coronavirus Situation and In-Person Fund Board Meetings We have received questions about...

[32251] February 27, 2020 TO: ICI Members Chief Compliance Officer Committee SEC Rules Committee SUBJECTS: Compliance RE: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Advisers on April 21 The SEC has announced that its Office of Compliance Inspections...

[32242] February 26, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...

[32246] February 26, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Launches Consultation on ESG-related Disclosure for Corporate Issuers Under...

[32239] February 25, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fees and Expenses Fund Governance Intermediary Oversight Operations Transfer Agency RE: Industry Working Groups Examining How to Reform Proxy Plumbing...

[32227] February 21, 2020 TO: ICI MembersInvestment Company Directors SUBJECTS: Advisory Contract Renewal Compliance Disclosure Fund Governance Investment Advisers RE: Diverse Investment Advisers Act We want to inform you about proposed legislation known as the Diverse Investment...

[32229] February 21, 2020 TO: ICI Members Investment Company Directors ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Disclosure Regulation...