CCO (Chief Compliance Officer) Content

[32054] November 12, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers Act Advertising and Cash Solicitation Rules The SEC recently proposed amendments to the Advisers Act Advertising and Cash Solicitation...

[32048] November 11, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Proposes Amendments to Proxy Rules Affecting Proxy Advisory Firms and Shareholder...

[32047] November 11, 2019 TO: Chief Compliance Officer Committee SEC Rules Committee RE: SEC Sanctions Broker-Dealer/Investment Adviser for Use of Faulty Share Class Selection Calculator The SEC has settled an enforcement proceeding with a firm dually registered as a broker-dealer and...

[32044] November 8, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Internal Audit Committee Money Market Funds Advisory Committee Operations Committee SUBJECTS: Compliance Money Market Funds RE: OCIE Publishes Risk Alert with Observations from...

[32045] November 8, 2019 TO: ICI Members ICI Global Members ESG Task Force SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers RE: SEC Chairman Statement on ESG at Investor Advisory Committee Meeting The SEC Investor Advisory Committee meeting...

[32040] November 6, 2019 TO: Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Proposal for Exemptive Order Applications; Comments Due November 14 As previously reported, the...

[32021] October 24, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[32019] October 22, 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: SEC Proposes New Procedures for Exemptive Order...

[32017] October 21, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Privacy State Issues RE: Important...

[31988] September 30, 2019 TO: ICI Global Members SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Update on ESMA Work to Develop Regulatory Technical Standards for EU Disclosure Regulation The EU co-legislators...