Investment Advisers Content

[33016] January 4, 2021 TO: ICI Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SUBJECTS: Advertising Compliance Disclosure Investment Advisers Operations Recordkeeping RE: SEC Adopts Amendments to Advisers Act...

On December 21, 2020, Securities and Exchange Commission (“Commission”) Chairman Jay Clayton issued a statement announcing that the Commission’s Division of Trading and Markets released its staff report on the Fixed Income Market Structure Advisory Committee’s work over the past year...

[33004] December 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee...

[33002] December 21, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Investment Advisers Trading and Markets RE: CFTC Adopts Final Rules on Electronic Trading Risk Principles for DCMs The Commodity Futures Trading Commission (“Commission”) recently...

[32999] December 18, 2020 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...

[32996] December 18, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: EBA Publishes Final...

[32988] December 16, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: Staff of...

On December 4, the Securities and Exchange Commission granted an order (“Order”) approving an application for exemptive relief under sections 26(c) and 17(b) of the Investment Company Act of 1940 to permit the substitution of several mutual funds offered as investment options in...

[32979] December 14, 2020 TO: ICI Members ICI Global Members ESG Advisory Group ESG Task Force SUBJECTS: Disclosure ESG Fund Accounting & Financial Reporting International/Global Investment Advisers RE: TCFD Consultation on Forward-Looking Financial Sector Metrics The Task Force on...

[32968] December 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members LIBOR Transition Working Group SUBJECTS: Alternative Investments Bank Regulation Closed-End Funds COVID-19 Exchange-Traded Funds (ETFs) Financial Stability Fixed Income Securities Investment...