Compliance Advisory Content

[31738] April 29, 2019 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance RE: ICI Files Comment Letter on SEC's Proposal Expanding Pre-Filing Communications with...

[31725] April 23, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance...

[31708] April 10, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Staff Issues Liquidity FAQ on Extended Holiday...

[31705] April 9, 2019 TO: ICI Members Investment Company Directors Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Investment Advisers Operations Trading and Markets RE: CFTC Adopts Amendments to Notification Requirements for Segregation of Margin...

[31697] April 3, 2019 TO: ICI Members Chief Compliance Officer Committee Disclosure Working Group SEC Rules Committee SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Money Market Funds Variable Insurance Products RE: Division of Investment Management Staff Bulletin on 485...

[31695] April 2, 2019 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Closed-End Funds Compliance Disclosure RE: SEC Proposes Amendments to Closed-End Fund Offering and Reporting Requirements; Member Call Scheduled for Tuesday, April 16 at 2 pm (Eastern) The...

[31685] March 28, 2019 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Cybersecurity Derivatives Fund Accounting & Financial Reporting Investment Advisers Operations Risk Oversight RE: Updates on...

[31678] March 26, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Operations Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Adopts FAST Act-Related Disclosure Amendments for Funds and...

[31659] March 15, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter to SEC on Proxy Voting In 2018, proxy voting policy matters took on...

[31638] March 5, 2019 TO: ICI Members SUBJECTS: Compliance Fees and Expenses Fund Accounting & Financial Reporting Intermediary Oversight Operations Transfer Agency RE: Action Required - Register to Participate in 2019 ICI Mutual Fund Transfer Agents Trends & Billings Practices Survey...