Investment Advisers Content

[31871] July 29, 2019 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: ICI Submits Comment Letter on FINRA's Proposed Amendments to Rule 2210...

[31866] July 23, 2019 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Investment...

[31855] July 15, 2019 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Internal Audit Committee...

[31839] July 8, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Publishes Its Final 2020 GIPS Standards The CFA Institute [1] has issued its 2020 Global...

[31835] July 3, 2019 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: SEC Adopts Final Rules on Capital, Margin, and Segregation for...

[31834] July 3, 2019 TO: ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESMA Survey on "Short-Termism" and Sustainable Finance The European...

[31833] July 2, 2019 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: EU Publishes Amendments to...

[31822] June 24, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Closed-End Funds Derivatives Exchange-Traded Funds (ETFs) Fixed Income Securities Investment Advisers Systemic Risk Trading and Markets Transfer Agency Variable Insurance Products RE: ICI Summary of Spring...

[31815] June 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Internal Audit Committee Investment Advisers Committee Operations Committee Pension...

[31800] June 11, 2019 TO: Investment Advisers CommitteeOperations CommitteePension CommitteePension Operations Advisory CommitteePrincipal Underwriters Working GroupSEC Rules CommitteeSmall Funds CommitteeVariable Insurance Products Advisory Committee RE: ICI Member Call June 21 on...