Internal Sales Managers Roundtable Content

ICI is pleased to announce an update to its Navigating Intermediary Relationships white paper, presented in conjunction with the Independent Directors Council (IDC). The paper's purpose is to describe the participation of and effect by intermediaries on mutual fund distribution.

The Internal Sales Manager Roundtable meeting schedule for 2023 has been finalized. Please mark your calendar for the following meeting dates.

On November 2, 2022, by a 3-2 vote, the SEC approved a proposal that would: amend Rule 22e-4 (the "liquidity rule"), which applies to open-end funds; require mutual funds to adopt swing pricing; and change all Form N-PORT filers' reporting obligations

The Investment Company Institute's Internal Sales Managers Roundtable will meet on Thursday, October 20, and Friday October 21, 2022, at Macquarie Investment Management's offices at 610 Market Street in Philadelphia, PA. On Thursday, October 20, the meeting will run from 1:30-5:00 pm...

The staff of the Securities and Exchange Commission recently issued a Staff Bulletin providing guidance on the application of standards of conduct relevant to broker-dealers and investment advisers in identifying and addressing conflicts of interest.

On 10 June 2022, the Hong Kong Securities and Futures Commission (SFC) published a consultation on proposed amendments to the Securities and Futures Ordinance (SFO) to enhance the regulatory tools available for effective enforcement.

The Chinese Securities Regulatory Commission (CSRC) recently revised the regulatory framework governing the establishment and operation of public fund management businesses in China.

On 27 May 2022, the China Securities Regulatory Commission (CSRC) and the Hong Kong Securities and Futures Commission (SFC) (the "Regulators") announced the inclusion of exchange-traded funds (ETFs) into the Mainland-Hong Kong Stock Connect ("Stock Connect").