Compliance Advisory Content

[30620] March 2, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fees and Expenses Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Portfolio...

[30602] February 24, 2017 TO: ICI Members AML Compliance Working Group Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Operations...

[30599] February 24, 2017 TO: ICI Members Chief Information Security Officer Advisory Committee Privacy Issues Working Group Technology Committee SUBJECTS: Compliance Privacy RE: New York Adopts Cybersecurity Regulation Effective March 1st The New York Department of Financial Services...

[30590] February 21, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Investment Advisers...

[30584] February 16, 2017 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Investment Advisers RE: FINRA Requests Comment on Proposed Amendments to Rule 2210 FINRA has issued a Regulatory Notice requesting comment on proposed amendments to Rule 2210 (Communications with the...

[30570] February 8, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded...

[30556] February 1, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Audit and Attest Compliance Derivatives Fund Accounting & Financial Reporting Investment...

[30553] January 31, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee Small Funds Committee...

[30550] January 30, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30531] January 23, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Derivatives International/Global Operations Portfolio Oversight Risk Oversight Systemic Risk RE: FSB Issues Final Policy Recommendations to Address "Structural Vulnerabilities...