Operations Content

[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...

[30585] February 16, 2017 TO: ICI Members Investment Company Directors ICI Global Members Operations Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Distribution Fees and Expenses RE: SEC Publishes FAQs on...

[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...

[30553] January 31, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee Small Funds Committee...

[30550] January 30, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30541] January 26, 2017 TO: Operations Committee RE: Registration Now Open: April 5-6, 2017 - Operations Committee Meeting The Investment Company Institute’s Operations Committee will meet on Wednesday, April 5, 2017 from 2:00 to 5:00 pm, in the David Silver Conference Room (DSCR) on...

[30531] January 23, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Derivatives International/Global Operations Portfolio Oversight Risk Oversight Systemic Risk RE: FSB Issues Final Policy Recommendations to Address "Structural Vulnerabilities...

[30512] January 11, 2017 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations...