Compliance Advisory Content

[32819] October 9, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent...

[32825] October 9, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: ISDA Announces Forthcoming Publication of Fallbacks We wanted to alert you...

[32821] October 9, 2020 TO: ICI Members Investment Company Directors CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Securities...

[32815] October 8, 2020 TO: ICI Members SUBJECTS: Anti-Money Laundering Compliance Transfer Agency RE: Register for ICI's October 23rd Call to Discuss FinCEN's Advance Notice of Proposed Rulemaking Regarding Anti-Money Laundering Program Effectiveness On September 16, 2020, FinCEN...

[32814] October 8, 2020 TO: ICI Members Chief Compliance Officer Committee Derivatives Markets Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance COVID-19 CPO/CTA Derivatives Investment Advisers RE: Expiration of Temporary CFTC...

[32813] October 7, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Operations Trading and Markets RE: CFTC Adopts Amendments to Swap Data Reporting Requirements In September, the Commodity Futures Trading Commission...

[32792] September 30, 2020 TO: ICI Members Operations Committee Privacy Issues Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Privacy State Issues RE: California Extends Privacy Law Exclusion for Employee Information Until January 1, 2022 As...

[32790] September 29, 2020 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Regulated Funds...

[32779] September 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers Operations Portfolio Oversight Transfer Agency RE: SEC Adopts Amendments to Shareholder Proposal Rule (Rule 14a-8) This week...

[32748] September 9, 2020 TO: ICI Members ICI Global Members SUBJECTS: Audit Committees Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight International/Global Investment Advisers Risk Oversight RE: President's Working Group Submits...