Compliance Advisory Content

[32083] December 6, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Risk Oversight Systemic Risk RE: SEC Re-Proposes Rule on Fund's Use of Derivatives and Proposes Sales Practice Rules for Transactions in Leveraged/Inverse...

[32074] December 5, 2019 TO: ICI Members Closed-End Investment Company Committee Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Investment Advisers RE: CFTC Adopts Amendments to...

[32068] November 27, 2019 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: Alternative Investments Compliance Disclosure...

[32064] November 26, 2019 TO: ICI Members Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Operations RE: ICI Submits Comment Letter on SEC's Proposal...

[32053] November 12, 2019 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers...

[32054] November 12, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers Act Advertising and Cash Solicitation Rules The SEC recently proposed amendments to the Advisers Act Advertising and Cash Solicitation...

[32048] November 11, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Proposes Amendments to Proxy Rules Affecting Proxy Advisory Firms and Shareholder...

[32044] November 8, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Internal Audit Committee Money Market Funds Advisory Committee Operations Committee SUBJECTS: Compliance Money Market Funds RE: OCIE Publishes Risk Alert with Observations from...

[32045] November 8, 2019 TO: ICI Members ICI Global Members ESG Task Force SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers RE: SEC Chairman Statement on ESG at Investor Advisory Committee Meeting The SEC Investor Advisory Committee meeting...

[32040] November 6, 2019 TO: Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Proposal for Exemptive Order Applications; Comments Due November 14 As previously reported, the...