CCO (Chief Compliance Officer) Content

[31262] June 26, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31260] June 25, 2018 TO: Accounting/Treasurers Committee Auditor Independence Working Group Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on SEC's Proposed Amendments to the Loan...

[31243] June 8, 2018 TO: ICI Members Investment Company Directors SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee Variable Insurance Products Advisory Committee SUBJECTS: Compliance Disclosure Operations Transfer Agency RE: Summary of SEC Final Rule 30e-3...

[31238] June 5, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Distribution RE: SEC Finalizes Rule 30e-3 and Releases Requests for Comment on Processing Fees and Modernizing Fund Disclosure The Commission voted yesterday to issue three releases related to improving fund...

[31237] June 5, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure RE: ICI Files Supplemental Comment Letter on SEC's iXBRL Proposal ICI submitted the attached supplemental comment letter on the SEC’s 2017 proposal to require the use of Inline eXtensible Business Reporting Language...

[31232] June 4, 2018 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Operations Transfer Agency RE: SEC Grants ICI No-Action Relief Permitting Funds to...

[31223] May 30, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31215] May 18, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: ICI Submits...

[31198] May 7, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting RE: SEC Proposes Amendments to Auditor Independence Loan Rule On May 2, the Securities and Exchange Commission issued for...

[31194] May 3, 2018 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee Municipal...