Compliance Advisory Content

[32164] January 21, 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: Compliance Disclosure Investment Advisers...

[32162] January 17, 2020 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[32158] January 16, 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: Updated Global ESG-Related...

[32149] January 16, 2020 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on SEC Advisers Act Advertising and Cash Solicitation Rule Proposal; Feedback...

[32152] January 16, 2020 TO: ICI Global Members Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Alternative Investments Compliance Disclosure Distribution Fees and Expenses International/Global Investment Advisers...

[32146] January 14, 2020 TO: ICI Members Chief Compliance Officer Committee Compliance Advisory Committee SUBJECTS: Investment Advisers Litigation & Enforcement RE: SEC Fines Another Broker-Dealer/Investment Adviser for Recommending More Expensive Share Classes The Securities and...

[32141] January 13, 2020 TO: ICI Global Members Global Operations Advisory Committee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers Litigation & Enforcement Trading and Markets RE...

[32137] January 10, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance RE: SEC Proposes Amendments to Auditor Independence Rule On December 30, the Securities and Exchange Commission issued for public comment proposed amendments to...

[32132] January 8, 2020 TO: ICI Members ESG Task Force SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Distribution Investment Advisers RE: SEC Examiners Focus on ESG The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published its 2020...

[32133] January 8, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Issues Proposal to Update Accredited Investor and Qualified Institutional Buyer Definitions The Securities and Exchange Commission recently issued a proposal to update the definitions of...