Investment Advisers Content

[32326] March 26, 2020 TO: ICI Global Members Chief Compliance Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee SUBJECTS: Audit Committees Compliance International/Global Investment Advisers Operations Trading and Markets RE...

[32323] March 26, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Subcommittee SUBJECTS: Compliance Derivatives International/Global Investment Advisers...

On March 19, 2020, ICI received temporary emergency relief from Division of Investment Management staff agreeing not to recommend enforcement action against any money market fund or any bank that is an affiliated person of the fund if the affiliated bank purchases securities from the...

[32327] March 26, 2020 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations...

[32318] March 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight...

[32317] March 25, 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 Investment Management...

[32314] March 24, 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 Provides Temporary Interfund Lending...

[32313] March 24, 2020 TO: ICI Members Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers Operations Recordkeeping RE: NFA Provides Relief to CPOs and...

[32307] March 23, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight Settlement Technology & Business Continuity...

[32306] March 23, 2020 TO: ICI Members Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers Operations Recordkeeping RE: CFTC Staff Issues No-Action...