Investment Advisers Content

[32383] April 13, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Division of Corporation Finance Issues...

[32387] April 13, 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 Pension...

[32377] April 9, 2020 TO: ICI Members Investment Company Directors Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Fees and Expenses Investment Advisers Variable Insurance Products RE: SEC Adopts Variable Insurance Product Summary Prospectus Rule The Securities and...

[32373] April 9, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers...

[32374] April 9, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Risk Oversight RE: SEC Division of Investment Management and Division of Trading and Markets Issue...

[32376] April 9, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Staff Issues Updated Guidance on Shareholder Meetings in Light of COVID-19...

[32378] April 9, 2020 TO: ICI Global Members ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Consultation on...

[32365] April 8, 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 Pension...

[32369] April 8, 2020 TO: ICI Members ICI Global Members SUBJECTS: Exchange-Traded Funds (ETFs) Fixed Income Securities Investment Advisers Money Market Funds Municipal Securities Systemic Risk Trading and Markets RE: Reference Guide: Federal Reserve Funding Facilities Established in...

[32370] April 8, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution International/Global Investment Advisers Operations RE: China Issues New Guidelines Allowing Public Fund...