CCO Advisory Issues Subcommittee Content

[31627] February 21, 2019 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance RE: SEC Proposes Expanding Pre-Filing Communications with Certain Prospective Investors; Member Call...

[31590] February 1, 2019 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Fund Accounting & Financial Reporting Intermediary Oversight Investment Advisers Portfolio Oversight Risk...

[31584] January 29, 2019 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Investment Advisers RE: ICI Files Comment Letter With CFTC on Post-Trade Name Give-Up In November, the Commodity Futures Trading Commission (CFTC or “Commission”...

[31538] December 31, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity Exchange-Traded Funds (ETFs) Fixed Income Securities...

[31533] December 21, 2018 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: ICI Comments on CFA Institute's GIPS Exposure Draft In late August the CFA Institute [1] issued...

[31526] December 20, 2018 TO: ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESMA Consultation on ESG Integration The European Securities and Markets...

[31518] December 12, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Operations Transfer Agency RE: Update on Rule 30e-3 Related Disclosure Requirements for Variable Annuity Products As you know, the SEC recently adopted final Rule 30e-3 under the Investment Company Act of 1940....

[31512] December 4, 2018 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Money Market Funds Advisory Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Money Market Funds Valuation RE: EDGAR Closed on December 5 In connection with tomorrow’s...

[31513] December 4, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: SEC Adopts Final FAIR Act Rule Last week the SEC adopted rules and...

[31506] November 29, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting Investment Advisers Pension Recordkeeping Transfer Agency Variable Insurance Products...