Compliance Advisory Content

[30728] June 5, 2017 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Principal Underwriters Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Draft ICI Comment Letter to FINRA in Response to Special Notice -...

[30718] May 25, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Technology & Business Continuity Trading and Markets RE...

[30712] May 22, 2017 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Small Funds Committee Technology Committee SUBJECTS: Compliance Cybersecurity Investment Advisers Technology & Business Continuity RE: SEC Publishes Risk Alert...

[30688] May 1, 2017 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: FINRA Issues Guidance on Social Media and Digital Communications FINRA has issued a Regulatory Notice offering guidance on social networking websites and business...

[30685] April 28, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance State Issues RE: Indiana Converts from Sales-Based Fee to a Flat $900 Fee Effective July 1, 2017 Effective July 1, 2017, Subsections 23-19-3-2(2)(a) and (f) of Indiana’s Securities Act, which...

[30686] April 28, 2017 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance RE: SEC Staff Provides No-Action Position to Closed-End Feeder Fund from Paying Certain...

[30684] April 27, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping RE: CFTC Staff Issues Exemptive Relief for CTAs to...

[30663] April 5, 2017 TO: ICI Members Investment Company Directors ICI Global Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Principal Underwriters Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30652] March 27, 2017 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: ICI Submits Comment Letter on Proposed Amendments to FINRA Rule 2210 FINRA has issued a Regulatory Notice requesting comment on proposed amendments to Rule 2210...

[30647] March 20, 2017 TO: ICI Members SUBJECTS: ComplianceFees and ExpensesFund Accounting & Financial Reporting Intermediary Oversight Operations Transfer Agency RE: ACTION REQUESTED - Register to Participate in the 2017 ICI Mutual Fund Transfer Agents Trends & Billing Practices...