Investment Advisers Content

[32115] December 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Municipal Securities Advisory Committee SUBJECTS: Derivatives Disclosure Fixed Income Securities Fund Accounting & Financial...

[32111] December 18, 2019 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Taxonomy Legislation: Final Agreement Reached The European co-legislators...

[32096] December 11, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting Investment Advisers RE: New FINRA FAQ Permits "Adjusted Expense Ratios" in Ads Last week, FINRA issued a new FAQ that permits...

[32089] December 10, 2019 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Taxonomy Legislation: Provisional Agreement Reached We have...

[32093] December 10, 2019 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESG Task Force Call on Wednesday, 18 December to Discuss EU...

[32086] December 9, 2019 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Official Publication of EU Sustainable Finance Legislation on...

[32074] December 5, 2019 TO: ICI Members Closed-End Investment Company Committee Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Investment Advisers RE: CFTC Adopts Amendments to...

[32068] November 27, 2019 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Alternative Investments Compliance Disclosure...

[32053] November 12, 2019 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers...

[32048] November 11, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Proposes Amendments to Proxy Rules Affecting Proxy Advisory Firms and Shareholder...