Chief Risk Officers Content

On August 21, 2023, ICI submitted a response to the Financial Stability Board's consultation, Enhancing Third-Party Risk Management and Oversight.

On August 9, 2023, President Biden signed Executive Order 14105, titled Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern (Executive Order), which directed the US Secretary of the Treasury to develop and establish a US...

On August 9, 2023, President Biden signed a highly anticipated Executive Order to establish a U.S. outbound investment regime. At the same time, the Treasury Department published an Advance Notice of Proposed Rulemaking to initiate a rulemaking process to develop and implement an...

We invite you to join us for state ESG-related webinars on July 18 and 20. These webinars are free to attend and an exclusive opportunity for ICI members.

At ICI's 2023 Leadership Summit, SEC Chair Gensler delivered remarks which focused on fund dilution and liquidity and how it relates to financial stability, outstanding SEC rule proposals related to money market funds and liquidity risk management, hard close, and swing pricing, and...

Attached please find ICI's comment letter on the SEC's liquidity, swing pricing, hard close, and Form N-PORT proposal, which we filed last night. The proposal would radically change the liquidity risk management requirements for open-end funds (i.e., mutual funds and ETFs), impose on...

On January 12, 2023, the Hong Kong Securities and Futures Commission (SFC) hosted a second industry workshop on ESG funds. The workshop focused on practical difficulties and questions that fund managers have encountered during the ESG fund application process, and in complying with...

Attached please find ICI's draft comment letter on the SEC's liquidity, swing pricing, hard close, and Form N-PORT proposal. We would appreciate it if you could consolidate your firm's comments and provide them to us (matt.thornton@ici.org, joanne.kane@ici.org, kenneth.fang@ici.org...

On December 23, 2022, the ICI filed a comment letter with the Securities and Exchange Commission on its proposal entitled "Outsourcing by Investment Advisers." The SEC has proposed a new rule, Rule 206(4)-11, under the Investment Advisers Act of 1940 (the "Advisers Act"), that would...

The release containing the SEC's proposed liquidity rule, swing pricing, hard close, and Form N-PORT reporting amendments has been published in the Federal Register, and comments are due to the SEC by February 14.