CCO Advisory Issues Subcommittee Content

[32019] October 22, 2019 TO: ICI Members Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Operations RE: SEC Proposes New Procedures for Exemptive Order...

[31988] September 30, 2019 TO: ICI Global Members SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Update on ESMA Work to Develop Regulatory Technical Standards for EU Disclosure Regulation The EU co-legislators...

[31985] September 30, 2019 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Atlantic Chapter ICI Global Regulated Funds Committee Privacy Issues Working Group SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers...

[31986] September 30, 2019 TO: ICI Members Closed-End Investment Company Committee SEC Rules Committee SUBJECTS: Closed-End Funds Compliance RE: SEC Adopts Rule Expanding Pre-Filing Communications with Certain Prospective Investors The Securities and Exchange Commission recently...

[31983] September 30, 2019 TO: ICI Global Members ESG Task Force SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Status Update on EU Taxonomy Legislation After months of negotiation, the European Council has come to...

[31981] September 27, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: FINRA Issues Guidance on Disclosure Innovation FINRA has issued a Regulatory Notice with guidance on disclosure innovations in advertising. [1] FINRA has...

[31979] September 24, 2019 TO: ICI Members Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance Distribution RE: ICI Submits Comment Letter on SEC's Concept Release on Securities Offering Exemptions As you know, in...

[31972] September 18, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee Tax Committee Variable Insurance Products Advisory Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure...

[31952] September 10, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers RE: SEC Staff Announces Changes to Its Rule 14a-8 No-Action Request Process On September 6, the SEC’s Division of Corporation Finance announced changes to...

[31939] September 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Exchange-Traded Funds (ETFs) Fund Governance International/Global Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ESMA Issues...