Compliance Advisory Content

[30519] January 12, 2017 TO: ICI Members Investment Company Directors ICI Global Members Chief Risk Officer Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee SUBJECTS: Audit Committees Compliance Investment Advisers Money Market Funds RE: SEC Publishes the...

[30512] January 11, 2017 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations...

[30502] January 4, 2017 TO: ICI Members Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance RE: Medallion Signature Guarantee Considerations and Alternatives White Paper We are pleased to announce the publication of a new white paper...

[30468] December 12, 2016 TO: ICI Members SUBJECTS: Compliance Fund Governance Investment Advisers RE: GAO Issues Report on Proxy Advisory Firms In November, the Government Accountability Office (“GAO”) submitted its report on proxy advisory firms’ role in voting proxies and corporate...

[30436] November 30, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Advisory Committee Operations CommitteeSecurities Operations...

[30380] November 2, 2016 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Investment Advisers RE: SEC Approves Amendments to FINRA Communications With the Public Rules The SEC has approved amendments to FINRA Rules 2210, 2213, and 2214. [1] The final amendments are largely...

[30197] September 1, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-16 CHIEF RISK OFFICER COMMITTEE No. 25-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-16 COMPLIANCE ADVISORY COMMITTEE No. 10-16 DERIVATIVES MARKETS ADVISORY COMMITTEE...

[30120] August 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-16 BROKER/DEALER ADVISORY COMMITTEE No. 26-16 CHIEF RISK OFFICER COMMITTEE No. 21-16 COMPLIANCE ADVISORY COMMITTEE No. 9-16 INVESTMENT ADVISERS COMMITTEE No. 14-16...

[30089] July 28, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-16 CHIEF RISK OFFICER COMMITTEE No. 20-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 8-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No...

[30035] July 13, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-16 CHIEF RISK OFFICER COMMITTEE No. 17-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 7-16 INVESTMENT ADVISERS COMMITTEE No. 12-16 RISK ADVISORY COMMITTEE No. 3-16 SEC RULES...