SEC Rules Content

[31190] May 2, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Updates FAQs on Fund Reporting Rules to Address N-SAR Filing Obligations The Division of Investment Management of the Securities and Exchange Commission (“SEC”)...

[31185] April 26, 2018 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Variable Insurance Products Advisory Committee SUBJECTS...

[31177] April 20, 2018 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SEC Rules Committee RE: ICI Letter to OFAC Regarding the April 6, 2018 Russia Sanctions On April 6, 2018, the Office of Foreign Assets Control (OFAC) designated a number of Russian...

[31178] April 20, 2018 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Announces Changes to Its Broadly Distributed Pooled Fund Guidance Statement This week...

[31174] April 19, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight Investment Advisers Operations Pension Transfer Agency RE: SEC Releases Proposals on Standards of Conduct for Broker-Dealers and...

[31175] April 19, 2018 TO: Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee RE: ICI Call on May 1 to Discuss SEC Proposals on Standards of Conduct for Broker-Dealers and Investment Advisers The SEC voted 4...

[31172] April 18, 2018 TO: ICI Members SUBJECTS: Audit and Attest Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Provides Comments on Compliance with Regulation S-X Amendments On February 20, 2018 SEC staff from the Division of Investment Management provided comments...

[31165] April 13, 2018 TO: ICI Members Accounting/Treasurers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Investment Advisers Money Market Funds Operations Portfolio Oversight Recordkeeping RE: SEC Staff...

[31159] April 11, 2018 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee SEC Rules Committee SUBJECTS: Investment Advisers Litigation & Enforcement RE: SEC Sanctions Three Advisers for Violating the Advisers Act by Selling...

[31162] April 11, 2018 TO: ICI Members SUBJECTS: Anti-Money Laundering Compliance Operations Transfer Agency RE: FinCEN Issues New Customer Due Diligence FAQs; OFAC Issues Cryptocurrency FAQs The Financial Crimes Enforcement Network (FinCEN) issued additional FAQs related to its...