Investment Advisers Content

[31634] March 1, 2019 TO: ICI Members SUBJECTS: Compliance Cybersecurity Disclosure Fund Accounting & Financial Reporting Investment Advisers Recordkeeping RE: SEC Adopts Rules Modifying the Timing for Filing Non-Public Form N-PORT Data The Securities and Exchange Commission recently...

[31633] March 1, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Distribution International/Global Investment Advisers RE: Changes Proposed to QFII and RQFII Legislations On 31 January 2019, the China Securities Regulatory...

[31629] February 25, 2019 TO: Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: ICI Draft Comment Letter to SEC on Proxy Voting: Comments...

[31623] February 21, 2019 TO: ICI Members ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ICI Global Response to ESMA Consultation on ESG Integration under UCITS Directive...

[31615] February 15, 2019 TO: ICI Members Investment Company Directors Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Fees and Expenses Investment Advisers Variable Insurance Products RE: ICI Files Comment Letter with SEC on Variable Insurance Products Summary...

[31590] February 1, 2019 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Fund Accounting & Financial Reporting Intermediary Oversight Investment Advisers Portfolio Oversight Risk...

[31584] January 29, 2019 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Investment Advisers RE: ICI Files Comment Letter With CFTC on Post-Trade Name Give-Up In November, the Commodity Futures Trading Commission (CFTC or “Commission”...

[31579] January 25, 2019 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Transfer...

[31553] January 10, 2019 TO: ICI Global Members Global ESG Task Force SUBJECTS: Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESG Task Force: 15 Jan Call on ESMA Consultation & MiFID II DAs on Including ESG Preferences in Suitability Call on ESMA...

[31533] December 21, 2018 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: ICI Comments on CFA Institute's GIPS Exposure Draft In late August the CFA Institute [1] issued...