Sales and Marketing Content

[31520] December 17, 2018 TO: Sales and Marketing Committee RE: Registration Now Open: February 28, 2019 Sales and Marketing Committee Meeting The Investment Company Institute’s Sales and Marketing Committee will meet on Thursday, February 28, 2019, at ICI’s offices on the 12th floor...

[31513] December 4, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: SEC Adopts Final FAIR Act Rule Last week the SEC adopted rules and...

[31506] November 29, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting Investment Advisers Pension Recordkeeping Transfer Agency Variable Insurance Products...

[31473] November 12, 2018 TO: ICI Global Members Global ESG Task Force SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution International/Global Investment Advisers RE: ESG Task Force: EU Disclosure and Benchmarks Proposals; SEC Proxy Roundtable We cover the...

[31466] November 1, 2018 TO: ICI Members Investment Company Directors Operations Committee Processing Fees Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary...

[31320] August 7, 2018 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee...

[31319] August 7, 2018 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee Small Funds Committee Transfer Agent Advisory Committee RE: C-Share (Level Load) Conversion: Operational Considerations White...

[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...

[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...