Investment Advisers Content

[31117] March 6, 2018 TO: ICI Members Investment Company Directors ICI Global MembersBank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Investment Advisers Transfer Agency RE: SEC Charges Broker-Dealer...

[31106] February 23, 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 Extends...

[31084] February 12, 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: Derivatives International/Global Investment Advisers MiFID, EMIR, AIFMD...

[31078] February 8, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Disclosure Fund Governance International/Global Investment Advisers RE: EU High-Level Expert Group on Sustainable Finance Publishes Final ESG-Themed Report The European Commission’s High...

[31071] February 5, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Governance International/Global Investment Advisers Portfolio Oversight Risk Oversight Systemic Risk RE: IOSCO Issues Two Final...

[31072] February 5, 2018 TO: ICI Members Investment Company Directors ICI Global Members Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee...

[31045] January 22, 2018 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Regulated Funds Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Fund Governance International/Global Investment Advisers RE: ICI Global Response to European...

[31022] January 12, 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 Staff...

[30999] January 3, 2018 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Investment Advisers Operations Unit Investment Trusts (UITs) Variable Insurance Products RE: ICI Submits Comment Letter on SEC's Proposed Disclosure and Reporting Changes (Related to Incorporation...

[30992] December 22, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Money Market Funds Advisory Committee SUBJECTS: Derivatives International/Global Investment Advisers Money Market Funds Trading and Markets RE: OCC Issues...