Internal Sales Managers Roundtable Content

[32158] January 16, 2020 TO: ICI Members Investment Company Directors 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: Updated Global ESG-Related...

[32156] January 16, 2020 TO: ICI Members Investment Company Directors ICI Global Members Management Company Tax Subcommittee Pension Committee Public Communications Committee Tax Advisory Committee Tax Committee SUBJECTS: 529 Plans Derivatives Distribution Fees and Expenses Operations...

[32152] January 16, 2020 TO: ICI Global Members Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Alternative Investments Compliance Disclosure Distribution Fees and Expenses International/Global Investment Advisers...

[32141] January 13, 2020 TO: ICI Global Members Global Operations Advisory Committee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers Litigation & Enforcement Trading and Markets RE...

[32132] January 8, 2020 TO: ICI Members ESG Task Force SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Distribution Investment Advisers RE: SEC Examiners Focus on ESG The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published its 2020...

[32133] January 8, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Issues Proposal to Update Accredited Investor and Qualified Institutional Buyer Definitions The Securities and Exchange Commission recently issued a proposal to update the definitions of...

[32129] January 8, 2020 TO: SEC Rules Committee RE: SEC Issues Proposal to Update Accredited Investor and Qualified Institutional Buyer Definitions; Call Scheduled for January 16 at 2:00 PM ET The Securities and Exchange Commission recently issued a proposal to update the definitions...

[32128] January 6, 2020 TO: ICI Global Members ESG Task Force ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers RE: Update on ESG-Related Policy Developments in Hong Kong The Hong Kong...

[32096] December 11, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting Investment Advisers RE: New FINRA FAQ Permits "Adjusted Expense Ratios" in Ads Last week, FINRA issued a new FAQ that permits...

[32089] December 10, 2019 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: EU Taxonomy Legislation: Provisional Agreement Reached We have...