Compliance Advisory Content

[31072] February 5, 2018 TO: ICI Members Investment Company Directors ICI Global Members Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee...

[31038] January 19, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Anti-Money Laundering Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Risk Oversight Valuation RE: SEC Letter to ICI on Fund...

[31029] January 17, 2018 TO: Broker/Dealer Advisory Committee Chief Compliance Officer Committee Compliance Advisory Committee Principal Underwriters Working Group Unit Investment Trust Committee RE: FINRA Publishes Its 2018 Regulatory and Examination Priority Letter Last week, FINRA...

[31022] January 12, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Staff...

[30999] January 3, 2018 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Investment Advisers Operations Unit Investment Trusts (UITs) Variable Insurance Products RE: ICI Submits Comment Letter on SEC's Proposed Disclosure and Reporting Changes (Related to Incorporation...

[30969] December 8, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Audit Committees Closed-End Funds Compensation/Remuneration Compliance Cybersecurity Derivatives Exchange-Traded Funds (ETFs) Fixed Income Securities Fund Accounting & Financial Reporting Investment...

[30957] November 21, 2017 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Delays Effective Date of Its Broadly Distributed Pooled Fund Guidance Statement...

[30943] November 8, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small...

[30937] November 6, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: ICI Submits...

[30930] October 30, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Cybersecurity Derivatives Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global...