CCO Advisory Issues Subcommittee Content

[31492] November 20, 2018 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: ICI Files...

[31482] November 15, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Updates FAQs on Fund Reporting to Add Additional Questions Yesterday, the Division of Investment Management of the Securities and Exchange Commission updated...

[31473] November 12, 2018 TO: ICI Global Members Global ESG Task Force SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution International/Global Investment Advisers RE: ESG Task Force: EU Disclosure and Benchmarks Proposals; SEC Proxy Roundtable We cover the...

[31441] October 17, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions an Adviser for Using Advertising...

[31442] October 17, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions an Adviser for Failing to Disclose a...

[31432] October 12, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Fund Governance RE: SEC Staff Issues No-Action Letter on Board Oversight of Affiliated Transactions We are pleased to inform you that, in response to a request from IDC, the staff of the SEC’s...

[31422] October 5, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions a Fund Adviser and its Portfolio...

[31386] September 13, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Fund Governance Investment Advisers Transfer Agency Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Staff Withdraws Proxy Advisory Firm Related Letters and Chairman Clayton...

[31320] August 7, 2018 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee...

[31314] August 6, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Announces Staff Roundtable on the Proxy Process In a July 30 statement, SEC...