CCO Advisory Issues Subcommittee Content

[32305] March 19, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Detailed Summary of EU NFRD Consultation; Second Member Call on 7 Apr We will have...

[32298] March 18, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Distribution Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Operations Technology & Business Continuity Transfer Agency Valuation RE: 2016 ICI Memo...

[32295] March 17, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory CommitteeInternal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Operations Committee Pension Committee Pension Operations...

[32294] March 16, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU ESG Fund Disclosure: Final Taxonomy Report from EU Technical...

[32286] March 15, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight Settlement Technology & Business...

[32284] March 14, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Staff Issues Guidance on Shareholder Meetings in Light of COVID-19...

[32282] March 14, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight Technology & Business Continuity...

[32278] March 12, 2020 TO: ICI Members SEC Rules Committee SUBJECTS: Closed-End Funds Compliance Disclosure RE: ICI Files Comment Letter with the SEC on Proposal to Update Accredited Investor and Qualified Institutional Buyer Definitions In December, the Securities and Exchange...

[32251] February 27, 2020 TO: ICI Members Chief Compliance Officer Committee SEC Rules Committee SUBJECTS: Compliance RE: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Advisers on April 21 The SEC has announced that its Office of Compliance Inspections...

[32246] February 26, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Launches Consultation on ESG-related Disclosure for Corporate Issuers Under...