Investment Advisers Content

[31526] December 20, 2018 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 Consultation on ESG Integration The European Securities and Markets...

[31513] December 4, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: SEC Adopts Final FAIR Act Rule Last week the SEC adopted rules and...

[31506] November 29, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting Investment Advisers Pension Recordkeeping Transfer Agency Variable Insurance Products...

[31499] November 27, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee ICI Global Regulated Funds Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on CFA Institute's GIPS Exposure Draft...

[31492] November 20, 2018 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: ICI Files...

[31481] November 15, 2018 TO: ICI Members Investment Company Directors Investment Advisers Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Investment Advisers Transfer Agency RE...

[31475] November 12, 2018 TO: Investment Company Directors SUBJECTS: Fund Governance Investment Advisers Portfolio Oversight RE: IDC Letter on Board Role in Proxy Voting, Ahead of SEC's Proxy Process Roundtable In anticipation of a November 15 SEC roundtable on the proxy process, [1]...

[31473] November 12, 2018 TO: ICI Global Members Global ESG Task Force SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution International/Global Investment Advisers RE: ESG Task Force: EU Disclosure and Benchmarks Proposals; SEC Proxy Roundtable We cover the...

[31458] October 26, 2018 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: ICI and Other Trade Associations Request That SEC Re-Propose...

[31456] October 24, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Investment Advisers RE: ICI Letter to SEC on Request for Comment on Retail Investor Experience We...