CCO Advisory Issues Subcommittee Content

[32433] May 4, 2020 TO: ICI Members SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: CFTC Proposes Revisions to Periodic Reporting Requirements for Commodity Pool Operators The Commodity Futures...

[32435] May 4, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Municipal Securities Advisory Committee Operations Committee...

[32424] April 28, 2020 TO: ICI Global Members ICI Global Investing Subcommittee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Distribution International/Global Investment Advisers Operations RE: China Launched Consultation on New Investment...

[32423] April 28, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory...

[32422] April 27, 2020 TO: ICI Members Chief Compliance Officer Committee Derivatives Markets Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers RE: NFA Issues Notice to Members Providing...

[32418] April 27, 2020 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting RE: SEC Adopts Closed-End Fund Offering Reform Rules; SEC Staff Withdraws...

[32417] April 24, 2020 TO: ICI Members Chief Compliance Officer Committee Derivatives Markets Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers RE: CFTC Staff Issues Time-Limited No-Action...

[32413] April 24, 2020 TO: ICI Global Members Chief Compliance Officer Committee International Compliance Advisory Committee SUBJECTS: Compliance International/Global Operations RE: COVID 19 - UK FCA's Expectations for Wet-Ink Signatures In light of COVID-19 restrictions, the UK...

[32415] April 24, 2020 TO: ICI Members SUBJECTS: Audit Committees Compliance Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Money Market Funds Variable Insurance Products RE: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group The SEC announced today that it...

[32406] April 23, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure Operations Variable Insurance Products RE: SEC Extends EDGAR Filing Window on April 29 The Division of Investment Management recently announced that it will extend the EDGAR filing window on April 29, 2020, from 5...