Last month, the Securities and Exchange Commission (SEC or "Commission") adopted final rules and form amendments to mandate electronic filing of certain documents that are currently filed in paper format.
[34223] July 14, 2022 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure ESG Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Amends its 2020 Proxy Advice Amendments Yesterday, the SEC adopted changes to its 2020...
In April, the International Organization of Securities Commissions (IOSCO) issued a discussion paper on the corporate bond markets, focusing on their experiences during the COVID-19 induced market stress of March 2020.
ICI has filed a letter with the Commodity Futures Trading Commission (CFTC or "Commission") on the CFTC's proposed amendments ("Proposal") to its swap clearing requirements reflecting the cessation of LIBOR and certain other IBORs and the transition to alternative reference rates (i.e...
The Chinese Securities Regulatory Commission (CSRC) recently revised the regulatory framework governing the establishment and operation of public fund management businesses in China.
On May 25, 2022, the US Securities and Exchange Commission voted 3-1 to propose enhanced disclosures by certain investment advisers and investment companies about environmental, social, and governance (ESG) investment practices.
On May 27, ICI filed a comment letter on the Securities and Exchange Commission's (SEC or "Commission") proposed new rules that would further define the phrase "as part of a regular business," as used in the definitions of "dealer" and "government securities dealer" under Sections 3(a...
