Compliance Advisory Content

[32131] January 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity...

[32129] January 8, 2020 TO: SEC Rules Committee RE: SEC Issues Proposal to Update Accredited Investor and Qualified Institutional Buyer Definitions; Call Scheduled for January 16 at 2:00 PM ET The Securities and Exchange Commission recently issued a proposal to update the definitions...

[32128] January 6, 2020 TO: ICI Global Members ESG Task Force ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers RE: Update on ESG-Related Policy Developments in Hong Kong The Hong Kong...

[32123] December 23, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Operations Transfer Agency RE: ICI Submits Report to the SEC on the Fund Proxy System In June, ICI submitted a comment letter to the SEC on the...

[32111] December 18, 2019 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Taxonomy Legislation: Final Agreement Reached The European co-legislators...

[32096] December 11, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting Investment Advisers RE: New FINRA FAQ Permits "Adjusted Expense Ratios" in Ads Last week, FINRA issued a new FAQ that permits...

[32095] December 11, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Transfer Agency Variable Insurance Products RE: ICI Summary of Fall 2019 Regulatory Flexibility Agendas for SEC and CFTC...

[32089] December 10, 2019 TO: 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 Taxonomy Legislation: Provisional Agreement Reached We have...

[32093] December 10, 2019 TO: 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: ESG Task Force Call on Wednesday, 18 December to Discuss EU...

[32086] December 9, 2019 TO: 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: Official Publication of EU Sustainable Finance Legislation on...