CCO (Chief Compliance Officer) Content

[32092] December 10, 2019 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: ICI's Draft "Funds as Issuers" Proxy Report; Comments...

[32089] December 10, 2019 TO: 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 Taxonomy Legislation: Provisional Agreement Reached We have...

[32093] December 10, 2019 TO: 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: ESG Task Force Call on Wednesday, 18 December to Discuss EU...

[32086] December 9, 2019 TO: 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: Official Publication of EU Sustainable Finance Legislation on...

[32083] December 6, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Risk Oversight Systemic Risk RE: SEC Re-Proposes Rule on Fund's Use of Derivatives and Proposes Sales Practice Rules for Transactions in Leveraged/Inverse...

[32084] December 6, 2019 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 ETF Advisory Committee Operations...

[32074] December 5, 2019 TO: ICI Members Closed-End Investment Company Committee Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Investment Advisers RE: CFTC Adopts Amendments to...

[32068] November 27, 2019 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Alternative Investments Compliance Disclosure...

[32064] November 26, 2019 TO: ICI Members Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Operations RE: ICI Submits Comment Letter on SEC's Proposal...

[32053] November 12, 2019 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers...