Sales and Marketing Content

The Investment Company Institute's Sales and Marketing Committee will meet on Thursday, February 22 & 23, 2023, at Invesco's offices located at 225 Liberty St, New York, NY 10281. February 22 there will be a networking event starting at 6:30 pm. February 23, the meeting will run from...

The Sales & Marketing Committee meeting schedule for 2023 has been finalized. Please mark your calendar for the following meeting dates.

On November 2, 2022, by a 3-2 vote, the SEC approved a proposal that would: amend Rule 22e-4 (the "liquidity rule"), which applies to open-end funds; require mutual funds to adopt swing pricing; and change all Form N-PORT filers' reporting obligations

The staff of the Securities and Exchange Commission recently issued a Staff Bulletin providing guidance on the application of standards of conduct relevant to broker-dealers and investment advisers in identifying and addressing conflicts of interest.

The Investment Company Institute's Sales and Marketing Committee will meet on Thursday, September 22, 2022, at John Hancock Investment's offices located at 200 Berkeley St., in Boston, MA.

On 10 June 2022, the Hong Kong Securities and Futures Commission (SFC) published a consultation on proposed amendments to the Securities and Futures Ordinance (SFO) to enhance the regulatory tools available for effective enforcement.