Investment Advisers Content

[30557] February 1, 2017 TO: ICI Members Investment Company Directors ICI Global Members Investment Advisers Committee Pension Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary Oversight Investment...

[30556] February 1, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Audit and Attest Compliance Derivatives Fund Accounting & Financial Reporting Investment...

[30518] January 12, 2017 TO: ICI Members Investment Company Directors ICI Global Members Investment Advisers Committee Pension Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary Oversight Investment...

[30519] January 12, 2017 TO: ICI Members Investment Company Directors ICI Global Members Chief Risk Officer Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee SUBJECTS: Audit Committees Compliance Investment Advisers Money Market Funds RE: SEC Publishes the...

[30510] January 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...

[30477] December 13, 2016 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee End Of Day Pricing Forum ETF (Exchange-Traded Funds) Committee ETF Advisory...

[30468] December 12, 2016 TO: ICI Members SUBJECTS: Compliance Fund Governance Investment Advisers RE: GAO Issues Report on Proxy Advisory Firms In November, the Government Accountability Office (“GAO”) submitted its report on proxy advisory firms’ role in voting proxies and corporate...

[30475] December 12, 2016 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives International/Global Investment Advisers Money Market Funds RE: ICI Files Comment Letter with FDIC on Proposal on Stays in Qualified...

[30380] November 2, 2016 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Investment Advisers RE: SEC Approves Amendments to FINRA Communications With the Public Rules The SEC has approved amendments to FINRA Rules 2210, 2213, and 2214. [1] The final amendments are largely...

[30197] September 1, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-16 CHIEF RISK OFFICER COMMITTEE No. 25-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-16 COMPLIANCE ADVISORY COMMITTEE No. 10-16 DERIVATIVES MARKETS ADVISORY COMMITTEE...