Operations Content

[31316] August 6, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Investment Advisers Operations State Issues Systemic Risk Technology & Business Continuity RE: Treasury Issues Report on Nonbank Financials, Fintech, and Innovation, the Fourth Report in a...

[31314] August 6, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Announces Staff Roundtable on the Proxy Process In a July 30 statement, SEC...

[31301] July 27, 2018 TO: Operations Committee RE: Mark Your Calendar - 2019 Operations Committee Meeting Schedule The Operations Committee meeting schedule for 2019 has been finalized. Please mark your calendar for the following meeting dates: April 10 & 11, 2019 October 9 & 10, 2019...

[31293] July 19, 2018 TO: Chief Compliance Officer Committee Operations Committee SEC Rules Committee Technology Committee RE: California Enacts New Privacy Law; ICI Creating a Working Group to Discuss the Law's Impact on Funds On June 28th, California Governor Jerry Brown signed into...

[31279] July 13, 2018 TO: ICI Members AML Compliance Working Group Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Money Market Funds Advisory Committee Money Market Working Group Operations Committee SEC Rules Committee...

[31280] July 9, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: ICI Submits Comment Letter on SEC's FAIR Act Rule Proposal In May the...

[31274] July 3, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Adopts...

[31262] June 26, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31250] June 19, 2018 TO: Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Conference Call on Response to SEC Request for Comment on Processing Fees As you know, the Commission recently requested comment on the overall framework for...

[31243] June 8, 2018 TO: ICI Members Investment Company Directors SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee Variable Insurance Products Advisory Committee SUBJECTS: Compliance Disclosure Operations Transfer Agency RE: Summary of SEC Final Rule 30e-3...