CCO Advisory Issues Subcommittee Content

[31038] January 19, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Anti-Money Laundering Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Risk Oversight Valuation RE: SEC Letter to ICI on Fund...

[31022] January 12, 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 Staff...

[30999] January 3, 2018 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Investment Advisers Operations Unit Investment Trusts (UITs) Variable Insurance Products RE: ICI Submits Comment Letter on SEC's Proposed Disclosure and Reporting Changes (Related to Incorporation...

[30969] December 8, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Audit Committees Closed-End Funds Compensation/Remuneration Compliance Cybersecurity Derivatives Exchange-Traded Funds (ETFs) Fixed Income Securities Fund Accounting & Financial Reporting Investment...

[30957] November 21, 2017 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Delays Effective Date of Its Broadly Distributed Pooled Fund Guidance Statement...

[30937] November 6, 2017 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: ICI Submits...

[30930] October 30, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Cybersecurity Derivatives Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global...

[30922] October 23, 2017 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: ICI Submits Follow-up Letter to CFA Institute Regarding Its Broadly Distributed Pooled Fund Work...

[30889] September 28, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Compliance Derivatives International/Global Investment Advisers Recordkeeping...

[30819] August 8, 2017 TO: ICI Members Investment Company Directors Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight...