Internal Sales Managers Roundtable Content

[32441] May 5, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Detailed Summary of EU Consultation on Draft Regulatory Technical...

[32435] May 4, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Municipal Securities Advisory Committee Operations Committee...

[32426] April 29, 2020 TO: ICI Global Members ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ICI Global Call (7 May) on EU...

[32424] April 28, 2020 TO: ICI Global Members ICI Global Investing Subcommittee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Distribution International/Global Investment Advisers Operations RE: China Launched Consultation on New Investment...

[32418] April 27, 2020 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting RE: SEC Adopts Closed-End Fund Offering Reform Rules; SEC Staff Withdraws...

[32410] April 23, 2020 TO: ICI Global Members ESG Task Force ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESMA Issues Consultation on Draft...

[32398] April 20, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Intermediary Oversight Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ICI Files...

[32395] April 16, 2020 TO: ICI Members ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: IOSCO Publishes Report on Sustainable...

[32387] April 13, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension...