Investment Advisers Content

[30889] September 28, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Compliance Derivatives International/Global Investment Advisers Recordkeeping...

[30877] September 18, 2017 TO: ICI Members Investment Company Directors ICI Global Members Fixed-Income Advisory Committee ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Derivatives International/Global Investment Advisers Money Market Funds Trading and Markets RE...

[30847] August 22, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee...

[30834] August 14, 2017 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 SEC Rules Committee Transfer...

[30819] August 8, 2017 TO: ICI Members Investment Company Directors Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight...

[30787] July 20, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Cybersecurity Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight RE: ICI Submits Recommendations to SEC Chairman...

[30780] July 14, 2017 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...

[30778] July 14, 2017 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: ICI Submits Comment Letter on GIPS 20/20 Consultation Paper The CFA Institute issued its GIPS® 20/20...

[30771] July 7, 2017 TO: ICI Members Fixed-Income Advisory Committee SUBJECTS: Fixed Income Securities Investment Advisers Trading and Markets RE: FINRA Proposes New Data Report for Corporate and Agency Bonds The Financial Industry Regulatory Authority (FINRA) recently proposed to...

[30764] July 3, 2017 TO: ICI Members Investment Company Directors ICI Global Members Closed-End Investment Company Committee ICI Global Regulated Funds Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Fund Governance International/Global Investment Advisers RE...