Investment Advisers Content

[31803] June 11, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter to SEC Recommending Ways to Improve the Fund Proxy System In 2018...

[31798] June 10, 2019 TO: ICI Members ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ICI's Response to IOSCO ESG...

[31790] June 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members Broker/Dealer Advisory Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compensation/Remuneration...

[31756] May 13, 2019 TO: ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Summary of ESMA's Final Report to the EU Commission on Proposed ESG-Related Amendments to the UCITS...

[31708] April 10, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Staff Issues Liquidity FAQ on Extended Holiday...

[31705] April 9, 2019 TO: ICI Members Investment Company Directors Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Investment Advisers Operations Trading and Markets RE: CFTC Adopts Amendments to Notification Requirements for Segregation of Margin...

[31685] March 28, 2019 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Cybersecurity Derivatives Fund Accounting & Financial Reporting Investment Advisers Operations Risk Oversight RE: Updates on...

[31678] March 26, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Operations Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Adopts FAST Act-Related Disclosure Amendments for Funds and...

[31659] March 15, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter to SEC on Proxy Voting In 2018, proxy voting policy matters took on...

[31636] March 4, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers RE: FINRA Staff Permits Pre-Inception Index Performance in Institutional Communications for Open-End Funds In late January, FINRA...