Investment Advisers Content

[30763] July 3, 2017 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee ICI Global Regulated Funds Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: ICI Comment Letter on CFA Institute's GIPS Consultation Paper; Comments...

[30761] June 30, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Derivatives International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V Trading and Markets RE: ICI...

[30755] June 22, 2017 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 Consultation Paper on GIPS The CFA Institute [1]...

[30725] June 2, 2017 TO: ICI Members Investment Company Directors ICI Global Members Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Distribution Fees and Expenses Investment Advisers Operations Pension RE: SEC...

[30718] May 25, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Technology & Business Continuity Trading and Markets RE...

[30712] May 22, 2017 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Small Funds Committee Technology Committee SUBJECTS: Compliance Cybersecurity Investment Advisers Technology & Business Continuity RE: SEC Publishes Risk Alert...

[30692] May 3, 2017 TO: ICI Members Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Audit and Attest Audit Committees Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: CFTC Staff Issues Clarification Regarding Ability of...

[30688] May 1, 2017 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: FINRA Issues Guidance on Social Media and Digital Communications FINRA has issued a Regulatory Notice offering guidance on social networking websites and business...

[30684] April 27, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping RE: CFTC Staff Issues Exemptive Relief for CTAs to...

[30652] March 27, 2017 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: ICI Submits Comment Letter on Proposed Amendments to FINRA Rule 2210 FINRA has issued a Regulatory Notice requesting comment on proposed amendments to Rule 2210...