Compliance Advisory Content

[32229] February 21, 2020 TO: ICI Members Investment Company Directors ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Disclosure Regulation...

[32220] February 20, 2020 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee SUBJECTS: Compliance Fund Governance Investment Advisers RE: SEC Issues Exemptive Order on Section 15(c) In-Person Board Voting Requirement for Certain Sub-Advisory Contracts The...

[32219] February 19, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure...

[32203] February 10, 2020 TO: ICI Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: Investment Company...

[32202] February 7, 2020 TO: Chief Compliance Officer Committee Compliance Advisory Committee RE: Registration Open for May 6 CCO Committee Meeting in Washington, DC and May 6-7 Compliance Programs Conference The next in-person meeting of ICI’s Chief Compliance Officer and Compliance...

[32201] February 7, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance International/Global Investment Advisers RE: US Federal Reserve Adopts Final Rule on "Control" Determinations Under Certain Banking Laws; Implications for Regulated US and Non-US Funds The US Federal...

[32192] February 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter on the SEC's Proxy Advice and Rule 14a-8...

[32190] February 3, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure International/Global Investment Advisers Portfolio Oversight Risk Oversight RE: US SEC Statements on Climate Risk Disclosure On January 30, SEC Chairman Clayton, Commissioner Lee, and Commissioner Peirce each...

[32179] January 28, 2020 TO: Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Cybersecurity RE: OCIE Publishes Its Cybersecurity and Resiliency Observations OCIE has...

[32167] January 22, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance Disclosure Investment Advisers Trading and Markets RE: US CFTC Market Risk Advisory Committee's Subcommittee's Planned Report on Climate-Related Financial and Market Risks The US CFTC’s Market Risk...