Internal Sales Managers Roundtable Content

[32093] 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: ESG Task Force Call on Wednesday, 18 December to Discuss EU...

[32086] December 9, 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: Official Publication of EU Sustainable Finance Legislation on...

[32026] October 25, 2019 TO: ICI Global Members Global Operations Advisory Committee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Distribution International/Global Investment Advisers RE: China to Commence Complete Opening of Foreign Ownership in Fund...

[31988] September 30, 2019 TO: ICI Global Members SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Update on ESMA Work to Develop Regulatory Technical Standards for EU Disclosure Regulation The EU co-legislators...

[31983] September 30, 2019 TO: ICI Global Members ESG Task Force SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Status Update on EU Taxonomy Legislation After months of negotiation, the European Council has come to...

[31981] September 27, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: FINRA Issues Guidance on Disclosure Innovation FINRA has issued a Regulatory Notice with guidance on disclosure innovations in advertising. [1] FINRA has...

[31979] September 24, 2019 TO: ICI Members Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance Distribution RE: ICI Submits Comment Letter on SEC's Concept Release on Securities Offering Exemptions As you know, in...