Sales and Marketing Content

The Chinese Securities Regulatory Commission (CSRC) recently revised the regulatory framework governing the establishment and operation of public fund management businesses in China.

On 27 May 2022, the China Securities Regulatory Commission (CSRC) and the Hong Kong Securities and Futures Commission (SFC) (the "Regulators") announced the inclusion of exchange-traded funds (ETFs) into the Mainland-Hong Kong Stock Connect ("Stock Connect").

Earlier today, ICI filed the attached comment letter in response to a FINRA regulatory notice expressing concerns associated with the sale of complex products and options to retail investors, and soliciting comment on related practices and potential rule enhancements.

ICI has filed the attached comment letter with the SEC on its recent Private Funds Advisers proposal. The letter addresses proposed amendments to the Investment Advisers Act that would, among other things, require investment advisers to prepare a quarterly statement disclosing private...

On March 30, 2022, the Superior Court of the Commonwealth of Massachusetts issued an order (attached) invaliding the Massachusetts regulation, finalized in 2020, that imposes a fiduciary duty on broker-dealers and agents. The court stayed the order for 30 days to give the...

FINRA recently issued a regulatory notice expressing concerns associated with the sale of complex products and options to retail investors, and soliciting comment on related practices and rule enhancements.

The Investment Company Institute's Sales and Marketing Committee will meet on Thursday, February 24, 2022, at ICI's offices on the 12th floor of 1401 H Street, NW, in Washington, DC. We will offer both an in-person attendance option and the ability to attend via Zoom.