Investment Advisers Content

[30987] December 19, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Disclosure Fund Governance International/Global Investment Advisers RE: European Commission Consultation on Asset Managers' Use of ESG Factors The European Commission (EC) published a...

[30982] December 15, 2017 TO: ICI Members Broker/Dealer Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Investment Advisers State Issues Transfer Agency RE: Texas Publishes Form for Financial Firms to Use to Report Suspected Financial Abuse Effective September 1, 2017...

[30969] December 8, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Audit Committees Closed-End Funds Compensation/Remuneration Compliance Cybersecurity Derivatives Exchange-Traded Funds (ETFs) Fixed Income Securities Fund Accounting & Financial Reporting Investment...

[30957] November 21, 2017 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Delays Effective Date of Its Broadly Distributed Pooled Fund Guidance Statement...

[30943] November 8, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small...

[30937] November 6, 2017 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: ICI Submits...

[30930] October 30, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Cybersecurity Derivatives Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global...

[30922] October 23, 2017 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: ICI Submits Follow-up Letter to CFA Institute Regarding Its Broadly Distributed Pooled Fund Work...

[30907] October 11, 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: FDIC Issues...

[30897] October 4, 2017 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee...