Internal Sales Managers Roundtable Content

[30930] October 30, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Cybersecurity Derivatives Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global...

[30819] August 8, 2017 TO: ICI Members Investment Company Directors Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight...

[30749] June 23, 2017 TO: Internal Sales Managers Roundtable RE: Registration Now Open: October 3-4, 2017, Internal Sales Managers Roundtable Meeting The Investment Company Institute’s Internal Sales Managers Roundtable will meet on Tuesday, October 3, from 1:00 – 5:00 pm and on...

[30630] March 9, 2017 TO: Advertising Compliance Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Internal Sales Managers Roundtable Sales and Marketing Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on...

[30517] January 12, 2017 TO: Internal Sales Managers Roundtable RE: Registration Now Open: April 6-7, 2017 Internal Sales Managers Roundtable Meeting The Investment Company Institute’s Internal Sales Managers Roundtable will meet on Thursday, April 6, 2017, from 2:00 – 5:00 pm and on...

[30239] September 13, 2016 TO: SALES AND MARKETING COMMITTEE No. 12-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 7-16 RE: ICI DRAFT LETTER ON FINRA’S PROPOSED CHANGES TO ITS NON-CASH COMPENSATION RULES; COMMENTS REQUESTED BY SEPTEMBER 16TH   As you may recall, in August, FINRA published...

[30132] August 15, 2016 TO: SALES AND MARKETING COMMITTEE No. 10-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 6-16 RE: FINRA PROPOSES CHANGES TO ITS NON-CASH COMPENSATION RULES; ICI REQUESTS MEMBERS’ COMMENTS BY AUGUST 26   FINRA has published a notice seeking comment on amendments it...

[30044] July 18, 2016 TO: INTERNAL SALES MANAGERS ROUNDTABLE No. 5-16 RE: REGISTRATION NOW OPEN: OCTOBER 13-14, 2016 INTERNAL SALES MANAGERS ROUNDTABLE MEETING   The Investment Company Institute’s Internal Sales Managers Roundtable will meet on Thursday, October 13, from 9:00 am to 3...

[30016] July 6, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 8-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 10-16 COMPLIANCE MEMBERS No. 21-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 4-16 SEC RULES MEMBERS No. 30-16 SALES AND...

[29995] June 23, 2016 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 7-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-16 INTERNAL SALES MANAGERS ROUNDTABLE No. 3-16 SALES AND MARKETING COMMITTEE No. 6-16 SEC RULES COMMITTEE No. 27-16...