Investment Advisers Content

[33485] April 19, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...

[33457] April 14, 2021 TO: ICI Members Chief Compliance Officer Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance CPO/CTA Derivatives Intermediary Oversight Investment Advisers RE: New NFA Rule and Interpretive Notices Regarding CPOs...

[33241] March 17, 2021 TO: ICI Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force Proxy Working Group SEC Rules Committee SUBJECTS: Disclosure ESG Fees and Expenses Investment Advisers RE: Speech by SEC Acting Chair Lee on Disclosure of Fund Proxy Voting On...

[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...

[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...

[33140] March 1, 2021 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives ESG Investment Advisers Trading and Markets RE: February Meeting of CFTC's Market Risk Advisory Committee Meeting-Subcommittee Recommendations On Tuesday, February 23, the Commodity...

[33133] February 25, 2021 TO: ICI Members SEC Rules Committee Variable Insurance Products Advisory Committee SUBJECTS: Fees and Expenses Investment Advisers Variable Insurance Products RE: SEC Issues Statement Providing No-Action Relief for Substitution of Variable Insurance Product...

[33091] February 5, 2021 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Fixed-Income Advisory Committee Investment Advisers Committee SEC Rules Committee Securities Operations Advisory Committee Small Funds Committee SUBJECTS: Audit and...

[33053] January 19, 2021 TO: ICI Members Equity Markets Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee Money Market Funds Advisory Committee SEC Rules Committee SUBJECTS: Fixed Income Securities Investment Advisers Trading and Markets RE: SEC Approves...