ETF Advisory Content

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32327

Emergency No-Action Relief - Mutual Funds and Rule 17a-9

[32327] March 26, 2020 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations...
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32318

SEC Extends Coronavirus Related Exemptive Relief to August 15, 2020

[32318] March 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight...
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Memo#
32249

Mark Your Calendar - June 17 ETF Advisory Committee Meeting

[32249] February 27, 2020 TO: ETF Advisory Committee RE: Mark Your Calendar - June 17 ETF Advisory Committee Meeting The next meeting of the ETF Advisory Committee (which includes members of the ETF ecosystem) has been scheduled for Wednesday, June 17 in Washington, DC. A joint lunch...
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Memo#
32239

Industry Working Groups Examining How to Reform Proxy Plumbing

[32239] February 25, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fees and Expenses Fund Governance Intermediary Oversight Operations Transfer Agency RE: Industry Working Groups Examining How to Reform Proxy Plumbing...
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Memo#
32131

The SEC Publishes Its 2020 Examination Priorities

[32131] January 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity...
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Memo#
32099

Greater Access to "ADIs" on Division of Investment Management Website

[32099] December 12, 2019 TO: ICI Members SUBJECTS: Audit Committees Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Money Market Funds Valuation RE: Greater Access to "ADIs" on Division of Investment Management Website As you know, the...