CCO Advisory Issues Subcommittee Content

[31279] July 13, 2018 TO: ICI Members AML Compliance Working Group Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Money Market Funds Advisory Committee Money Market Working Group Operations Committee SEC Rules Committee...

[31285] July 12, 2018 TO: ICI Members Chief Compliance Officer Committee Small Funds Committee SUBJECTS: Compliance Investment Advisers RE: SEC's OCIE Publishes a Risk Alert on Compliance Issues Related to Best Execution by Investment Advisers Yesterday the SEC’s Office of Compliance...

[31280] July 9, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: ICI Submits Comment Letter on SEC's FAIR Act Rule Proposal In May the...

[31281] July 9, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting RE: ICI and IDC Submit Joint Comment Letter on SEC Loan Rule Proposal On May 2, the Securities and Exchange Commission issued...

[31274] July 3, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Adopts...

[31270] June 29, 2018 TO: ICI Members SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure RE: SEC Finalizes iXBRL Requirements The Commission voted on June 28 to require the use of Inline eXtensible Business Reporting Language (iXBRL) format for the submission of...

[31243] June 8, 2018 TO: ICI Members Investment Company Directors SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee Variable Insurance Products Advisory Committee SUBJECTS: Compliance Disclosure Operations Transfer Agency RE: Summary of SEC Final Rule 30e-3...

[31238] June 5, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Distribution RE: SEC Finalizes Rule 30e-3 and Releases Requests for Comment on Processing Fees and Modernizing Fund Disclosure The Commission voted yesterday to issue three releases related to improving fund...

[31237] June 5, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure RE: ICI Files Supplemental Comment Letter on SEC's iXBRL Proposal ICI submitted the attached supplemental comment letter on the SEC’s 2017 proposal to require the use of Inline eXtensible Business Reporting Language...

[31232] June 4, 2018 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Operations Transfer Agency RE: SEC Grants ICI No-Action Relief Permitting Funds to...