CCO (Chief Compliance Officer) Content

[31985] September 30, 2019 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Atlantic Chapter ICI Global Regulated Funds Committee Privacy Issues Working Group SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers...

[31984] September 30, 2019 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Compliance Officer Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Exchange Traded Funds Committee SEC Rules Committee...

[31986] September 30, 2019 TO: ICI Members Closed-End Investment Company Committee SEC Rules Committee SUBJECTS: Closed-End Funds Compliance RE: SEC Adopts Rule Expanding Pre-Filing Communications with Certain Prospective Investors The Securities and Exchange Commission recently...

[31983] September 30, 2019 TO: ICI Global Members ESG Task Force SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Status Update on EU Taxonomy Legislation After months of negotiation, the European Council has come to...

[31981] September 27, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: FINRA Issues Guidance on Disclosure Innovation FINRA has issued a Regulatory Notice with guidance on disclosure innovations in advertising. [1] FINRA has...

[31979] September 24, 2019 TO: ICI Members Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance Distribution RE: ICI Submits Comment Letter on SEC's Concept Release on Securities Offering Exemptions As you know, in...

[31972] September 18, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee Tax Committee Variable Insurance Products Advisory Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure...

[31968] September 16, 2019 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee SEC Rules Committee RE: SEC Staff Encourages Funds to Improve Their Principal Risk Disclosures for Investors On September 9, 2019, the Disclosure Review and...

[31957] September 10, 2019 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...

[31952] September 10, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers RE: SEC Staff Announces Changes to Its Rule 14a-8 No-Action Request Process On September 6, the SEC’s Division of Corporation Finance announced changes to...