CCO (Chief Compliance Officer) Content

[31518] December 12, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Operations Transfer Agency RE: Update on Rule 30e-3 Related Disclosure Requirements for Variable Annuity Products As you know, the SEC recently adopted final Rule 30e-3 under the Investment Company Act of 1940....

[31512] December 4, 2018 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Money Market Funds Advisory Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Money Market Funds Valuation RE: EDGAR Closed on December 5 In connection with tomorrow’s...

[31513] December 4, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: SEC Adopts Final FAIR Act Rule Last week the SEC adopted rules and...

[31506] November 29, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting Investment Advisers Pension Recordkeeping Transfer Agency Variable Insurance Products...

[31492] November 20, 2018 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: ICI Files...

[31482] November 15, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Updates FAQs on Fund Reporting to Add Additional Questions Yesterday, the Division of Investment Management of the Securities and Exchange Commission updated...

[31473] November 12, 2018 TO: ICI Global Members Global ESG Task Force SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution International/Global Investment Advisers RE: ESG Task Force: EU Disclosure and Benchmarks Proposals; SEC Proxy Roundtable We cover the...

[31472] November 9, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee RE: OCIE Publishes Risk Alert Announcing Focus During Its Risk-Based Exams of Registered Investment Companies The SEC’s Office of Compliance Inspections and...

[31441] October 17, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions an Adviser for Using Advertising...

[31442] October 17, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions an Adviser for Failing to Disclose a...