CCO (Chief Compliance Officer) Content

[31189] May 2, 2018 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers Variable Insurance Products RE: FINRA Staff Issues Guidance Permitting Related Performance Information in Institutional Communications...

[31190] May 2, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Updates FAQs on Fund Reporting Rules to Address N-SAR Filing Obligations The Division of Investment Management of the Securities and Exchange Commission (“SEC”)...

[31185] April 26, 2018 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee SUBJECTS...

[31178] April 20, 2018 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Announces Changes to Its Broadly Distributed Pooled Fund Guidance Statement This week...

[31174] April 19, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight Investment Advisers Operations Pension Transfer Agency RE: SEC Releases Proposals on Standards of Conduct for Broker-Dealers and...

[31165] April 13, 2018 TO: ICI Members Accounting/Treasurers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Money Market Funds Operations Portfolio Oversight Recordkeeping RE: SEC Staff...

[31159] April 11, 2018 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee SEC Rules Committee SUBJECTS: Investment Advisers Litigation & Enforcement RE: SEC Sanctions Three Advisers for Violating the Advisers Act by Selling...

[31162] April 11, 2018 TO: ICI Members SUBJECTS: Anti-Money Laundering Compliance Operations Transfer Agency RE: FinCEN Issues New Customer Due Diligence FAQs; OFAC Issues Cryptocurrency FAQs The Financial Crimes Enforcement Network (FinCEN) issued additional FAQs related to its...

[31155] April 10, 2018 TO: Chief Compliance Officer Committee RE: Fall/Winter Meeting of the CCO Committee Set for Friday, October 26 The second in-person 2018 meeting of ICI’s CCO Committee will be held in Washington, D.C. on Friday, October 26th. As you know, this meeting typically...

[31153] April 10, 2018 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee Money Market Funds Advisory Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Money...