Investment Advisers Content

[32424] April 28, 2020 TO: ICI Global Members ICI Global Investing Subcommittee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Distribution International/Global Investment Advisers Operations RE: China Launched Consultation on New Investment...

[32423] April 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...

[32422] April 27, 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 Issues Notice to Members Providing...

[32417] April 24, 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 Issues Time-Limited No-Action...

[32415] April 24, 2020 TO: ICI Members SUBJECTS: Audit Committees Compliance Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Money Market Funds Variable Insurance Products RE: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group The SEC announced today that it...

[32409] April 23, 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 Transfer Agency Unit...

[32410] April 23, 2020 TO: ICI Global Members ESG Task Force ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESMA Issues Consultation on Draft...

[32398] April 20, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Intermediary Oversight Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ICI Files...

[32395] April 16, 2020 TO: ICI Members ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: IOSCO Publishes Report on Sustainable...

[32382] April 13, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Trading and Markets RE: CFTC Extends Comment Deadlines for Several Open Proposals In light of challenges caused by the COVID-19 pandemic...