Investment Advisers Content

[31185] April 26, 2018 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee SUBJECTS...

[31178] April 20, 2018 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Announces Changes to Its Broadly Distributed Pooled Fund Guidance Statement This week...

[31174] April 19, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight Investment Advisers Operations Pension Transfer Agency RE: SEC Releases Proposals on Standards of Conduct for Broker-Dealers and...

[31175] April 19, 2018 TO: Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee RE: ICI Call on May 1 to Discuss SEC Proposals on Standards of Conduct for Broker-Dealers and Investment Advisers The SEC voted 4...

[31165] April 13, 2018 TO: ICI Members Accounting/Treasurers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Money Market Funds Operations Portfolio Oversight Recordkeeping RE: SEC Staff...

[31159] April 11, 2018 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee SEC Rules Committee SUBJECTS: Investment Advisers Litigation & Enforcement RE: SEC Sanctions Three Advisers for Violating the Advisers Act by Selling...

[31153] April 10, 2018 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee Money Market Funds Advisory Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Money...

[31142] March 22, 2018 TO: ICI Members Investment Company Directors I Investment Advisers Committee Tax Committee Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Fees and Expenses Fund Governance Investment Advisers Litigation & Enforcement Portfolio Oversight Tax...

[31136] March 16, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Proposes...

[31125] March 12, 2018 TO: ICI Members ICI Global Members Chief Compliance Officer Committee Equity Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee International Operations Advisory Committee SEC Rules Committee SUBJECTS...