Compliance Advisory Content

[31952] September 10, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers RE: SEC Staff Announces Changes to Its Rule 14a-8 No-Action Request Process On September 6, the SEC’s Division of Corporation Finance announced changes to...

[31939] September 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Exchange-Traded Funds (ETFs) Fund Governance International/Global Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ESMA Issues...

[31941] September 5, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Investment Advisers Committee SEC Rules Committee SUBJECTS: Compliance Investment Advisers RE: OCIE Publishes a Risk Alert Reminding Advisers of Obligations When Engaging in...

[31925] August 29, 2019 TO: ICI Global Members Global Operations Advisory Committee Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global RE: China's New Rules on...

[31920] August 26, 2019 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Atlantic Chapter ICI Global Regulated Funds Committee Privacy Issues Working Group SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers Operations...

[31916] August 22, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Issues Proxy-Related Guidance to Investment Advisers and Proxy Advisory Firms On August 21...

[31871] July 29, 2019 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: ICI Submits Comment Letter on FINRA's Proposed Amendments to Rule 2210...

[31870] July 26, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Chief Risk Officer Committee SUBJECTS: Compliance Risk Oversight RE: Delaware Supreme Court Upholds Suit Against Directors That Failed to Monitor Corporation's Central Compliance...

[31868] July 25, 2019 TO: ICI Members ICI Global Members SUBJECTS: ComplianceInternational/Global RE: Notice of Survey of Foreign Ownership of US Securities as of June 30, 2019 The US Department of the Treasury (Treasury) issued a notice informing the public that it is conducting a...

[31855] July 15, 2019 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Internal Audit Committee...