Investment Advisers Content

[30649] March 20, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Derivatives Investment Advisers Recordkeeping Technology & Business Continuity Trading and Markets RE: ICI...

[30624] March 7, 2017 TO: ICI MembersInvestment Company Directors SUBJECTS: Fees and ExpensesFund GovernanceInvestment Advisers Litigation & Enforcement RE: District Judge Rules for Defense in Section 36(b) Case On February 28, a federal judge ruled in favor of the defense in Kasilag...

[30620] March 2, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fees and Expenses Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Portfolio...

[30611] March 1, 2017 TO: ICI Members Investment Company Directors ICI Global Members Investment Advisers Committee Pension Committee SEC Rules Committee SUBJECTS: Disclosure Investment Advisers RE: SEC Division of Investment Management Publishes Robo-Adviser Guidance The SEC’s...

[30602] February 24, 2017 TO: ICI Members AML Compliance Working Group Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Operations...

[30590] February 21, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Investment Advisers...

[30584] February 16, 2017 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Investment Advisers RE: FINRA Requests Comment on Proposed Amendments to Rule 2210 FINRA has issued a Regulatory Notice requesting comment on proposed amendments to Rule 2210 (Communications with the...

[30581] February 10, 2017 TO: ICI Members Investment Company Directors ICI Global Members Closed-End Investment Company Committee ICI Global Regulated Funds Committee ICI Global Steering Committee International Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure...

[30570] February 8, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded...

[30565] February 6, 2017 TO: ICI Members Investment Company Directors ICI Global Members Fixed-Income Advisory Committee Money Market Funds Advisory Committee SUBJECTS: Disclosure Fixed Income Securities International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V Trading and...