Operations Content

[32277] March 12, 2020 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Technology Committee SUBJECTS...

[32271] March 9, 2020 TO: 1940 Act Derivatives Working Group Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee Money Market Funds Advisory Committee...

[32265] March 5, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: AMAC Circular on Facilitating Applications by Private Fund Managers The Asset Management Association of China (“AMAC”) issued a...

[32242] February 26, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...

[32239] February 25, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fees and Expenses Fund Governance Intermediary Oversight Operations Transfer Agency RE: Industry Working Groups Examining How to Reform Proxy Plumbing...

[32238] February 25, 2020 TO: Operations Committee Proxy Working Group SEC Rules Committee RE: Industry Working Groups Examining How to Reform Proxy Plumbing; March 9 Call to Discuss OBO/NOBO Account Opening Disclosure Initiative The SEC published two pieces of proxy-related guidance...

[32219] February 19, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure...

[32213] February 13, 2020 TO: Operations Committee RE: Registration Now Open - Operations Committee Meeting - April 8-9, 2020 The Investment Company Institute’s Operations Committee will meet on Wednesday, April 8, 2020 from 1:50 to 5:00 pm, and on Thursday, April 9, 2020, starting at...

[32203] February 10, 2020 TO: ICI Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: Investment Company...

[32192] February 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter on the SEC's Proxy Advice and Rule 14a-8...