Investment Advisers Content

[32045] November 8, 2019 TO: ICI Members ICI Global Members ESG Task Force SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers RE: SEC Chairman Statement on ESG at Investor Advisory Committee Meeting The SEC Investor Advisory Committee meeting...

[32026] October 25, 2019 TO: ICI Global Members Global Operations Advisory Committee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Distribution International/Global Investment Advisers RE: China to Commence Complete Opening of Foreign Ownership in Fund...

[32021] October 24, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[32015] October 21, 2019 TO: 529 Plan Advisory Committee Investment Advisers Committee RE: ICI Files Comments with SEC Expressing Strong Opposition to MSRB Again Increasing Fees Imposed on Municipal Advisors In September, the Municipal Securities Rulemaking Board filed with the...

[31988] September 30, 2019 TO: ICI Global Members SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Update on ESMA Work to Develop Regulatory Technical Standards for EU Disclosure Regulation The EU co-legislators...

[31985] September 30, 2019 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Atlantic Chapter ICI Global Regulated Funds Committee Privacy Issues Working Group SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers...

[31983] September 30, 2019 TO: ICI Global Members ESG Task Force SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Status Update on EU Taxonomy Legislation After months of negotiation, the European Council has come to...

[31981] September 27, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: FINRA Issues Guidance on Disclosure Innovation FINRA has issued a Regulatory Notice with guidance on disclosure innovations in advertising. [1] FINRA has...

[31975] September 20, 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 &...

[31972] September 18, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee Tax Committee Variable Insurance Products Advisory Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure...