Investment Advisers Content

[32665] August 7, 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...

[32666] August 7, 2020 TO: ICI Global Members ESG Task Force (Global) ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure ESG International/Global Investment Advisers Portfolio Oversight Risk Oversight RE: Final Response to Monetary Authority of Singapore's (MAS)...

[32664] August 6, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee SUBJECTS: Compliance Derivatives International/Global Investment...

[32640] July 28, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory...

[32635] July 24, 2020 TO: ICI Members ESG Task Force (Global) ESG Working Group (US) SEC Rules Committee SUBJECTS: Advertising Disclosure ESG Fund Governance Investment Advisers Unit Investment Trusts (UITs) Variable Insurance Products RE: ICI Board of Governors Urges ICI Members to...

[32636] July 24, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Adopts Proxy Advice Rule Amendments and Supplemental Guidance for Investment Advisers On...

[32624] July 21, 2020 TO: ICI Members Chief Compliance Officer Committee Derivatives Markets Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers RE: NFA Extends Temporary Relief from...

[32613] July 17, 2020 TO: ICI Members Chief Compliance Officer Committee Derivatives Markets Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers RE: CFTC Staff Extends Temporary Relief from...

[32604] July 16, 2020 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: ICI Submits...

[32602] July 15, 2020 TO: ICI Global Members ESG Task Force EU Sustainable Finance Strategy Working Group ICI Global Regulated Funds Committee SUBJECTS: Disclosure Distribution ESG International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ICI Global's Final Response to...