International Compliance Advisory Committee Content

To assist funds in implementing new Rule 12d1-4 under the Investment Company Act of 1940, attached are two sample form of Fund of Funds Investment Agreements that can be used between acquiring funds and acquired funds. One version of the form contains footnotes while the other version...

[33345] March 23, 2021 TO: ICI Members SUBJECTS: Compliance Disclosure Transfer Agency RE: SEC Institutes Proceedings to Determine Whether to Approve or Disapprove NYSE's Proposed Rule Change to Move Responsibility to FINRA for Processing Fee Schedule As we previously reported to you...

[33273] March 19, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Operations Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Operations Transfer Agency RE: New Fraud Prevention Resources Available on ICI's Website We are...

[33272] March 19, 2021 TO: ICI Members Accounting/Treasurers Committee SEC Rules Committee Security Valuation Operations Committee SUBJECTS: Compliance Fixed Income Securities Fund Accounting & Financial Reporting Valuation RE: SEC FAQ Addresses Rule 2a-5 Compliance Date and Effect on...

[33194] March 15, 2021 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: ICI Submits Response to UK Treasury Consultation on Safe Harbours This week, ICI submitted a response to the HM Treasury (HMT)...

[33181] March 12, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: SEC Staff...

[33172] March 9, 2021 TO: ICI Members SUBJECTS: Compliance Fees and Expenses Intermediary Oversight Operations Transfer Agency RE: Action Requested - Register to Participate in 2021 ICI Mutual Fund Transfer Agents Trends & Billing Practices Survey The Investment Company Institute...

[33161] March 5, 2021 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: UK Financial Conduct Authority Formally...

[33158] March 4, 2021 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee Internal Audit Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering...