Compliance Advisory Content

[31198] May 7, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting RE: SEC Proposes Amendments to Auditor Independence Loan Rule On May 2, the Securities and Exchange Commission issued for...

[31194] May 3, 2018 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee Municipal...

[31189] May 2, 2018 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers Variable Insurance Products RE: FINRA Staff Issues Guidance Permitting Related Performance Information in Institutional Communications...

[31190] May 2, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Updates FAQs on Fund Reporting Rules to Address N-SAR Filing Obligations The Division of Investment Management of the Securities and Exchange Commission (“SEC”)...

[31185] April 26, 2018 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee SUBJECTS...

[31178] April 20, 2018 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Announces Changes to Its Broadly Distributed Pooled Fund Guidance Statement This week...

[31174] April 19, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight Investment Advisers Operations Pension Transfer Agency RE: SEC Releases Proposals on Standards of Conduct for Broker-Dealers and...

[31165] April 13, 2018 TO: ICI Members Accounting/Treasurers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Money Market Funds Operations Portfolio Oversight Recordkeeping RE: SEC Staff...

[31162] April 11, 2018 TO: ICI Members SUBJECTS: Anti-Money Laundering Compliance Operations Transfer Agency RE: FinCEN Issues New Customer Due Diligence FAQs; OFAC Issues Cryptocurrency FAQs The Financial Crimes Enforcement Network (FinCEN) issued additional FAQs related to its...

[31153] April 10, 2018 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee Money Market Funds Advisory Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Money...