Investment Advisers Content

[31441] October 17, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions an Adviser for Using Advertising...

[31442] October 17, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions an Adviser for Failing to Disclose a...

[31422] October 5, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions a Fund Adviser and its Portfolio...

[31403] September 25, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee ICI Global Regulated Funds Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: CFA Institute Issues GIPS Exposure Draft In late August the CFA...

[31401] September 24, 2018 TO: ICI Members ICI Global Members Global ESG Task Force ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Disclosure International/Global Investment Advisers RE: Hong Kong SFC Announces Green Finance Agenda The Hong Kong Securities...

[31388] September 18, 2018 TO: ICI Global Members Global ESG Task Force SUBJECTS: Disclosure International/Global Investment Advisers RE: ICI Global ESG Task Force: Updates on EU & US Developments This memorandum provides updates on the following items: Invitation to European...

[31385] September 13, 2018 TO: Closed-End Investment Company Committee Investment Advisers Committee SEC Rules Committee Transfer Agent Advisory Committee Unit Investment Trust Committee RE: SEC Staff Withdraws Proxy Advisory Firm Related Letters and Chairman Clayton Issues Statement...

[31386] September 13, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Fund Governance Investment Advisers Transfer Agency Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Staff Withdraws Proxy Advisory Firm Related Letters and Chairman Clayton...

[31345] August 23, 2018 TO: ICI Members Investment Company Directors ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compensation/Remuneration Disclosure International/Global Investment Advisers RE: ICI Global Response to European Commission on...

[31320] August 7, 2018 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 Sales and Marketing Committee...