Investment Advisers Content

[31966] September 16, 2019 TO: ICI Global Members Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Distribution International/Global Investment Advisers RE: China Wealth Management 50 Forum in Beijing on 21st...

[31963] September 16, 2019 TO: ICI Global Members Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Distribution International/Global Investment Advisers Trading and Markets RE: Update on ICI Global's Recent Meetings...

[31957] September 10, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...

[31952] September 10, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers RE: SEC Staff Announces Changes to Its Rule 14a-8 No-Action Request Process On September 6, the SEC’s Division of Corporation Finance announced changes to...

[31939] September 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Exchange-Traded Funds (ETFs) Fund Governance International/Global Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ESMA Issues...

[31941] September 5, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Investment Advisers Committee SEC Rules Committee SUBJECTS: Compliance Investment Advisers RE: OCIE Publishes a Risk Alert Reminding Advisers of Obligations When Engaging in...

[31920] August 26, 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 Operations...

[31916] August 22, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Issues Proxy-Related Guidance to Investment Advisers and Proxy Advisory Firms On August 21...

[31902] August 15, 2019 TO: ICI Global Members Global Operations Advisory Committee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Investment Advisers RE: Update on ICI Global's Meetings in Beijing Regarding China Market Access (Part 2)...

[31885] August 2, 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...