SEC Rules Content

[31106] February 23, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Extends...

[31091] February 16, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Advertising Anti-Money Laundering Compliance Cybersecurity Exchange-Traded Funds (ETFs) Fixed Income Securities Litigation & Enforcement Municipal Securities Variable Insurance Products...

[31089] February 15, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee Compliance Advisory Committee SUBJECTS: Compliance Cybersecurity RE: SEC Announces Next CCO Outreach Program Will Be Held in Washington, DC, on Thursday, April...

[31078] February 8, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Disclosure Fund Governance International/Global Investment Advisers RE: EU High-Level Expert Group on Sustainable Finance Publishes Final ESG-Themed Report The European Commission’s High...

[31071] February 5, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Governance International/Global Investment Advisers Portfolio Oversight Risk Oversight Systemic Risk RE: IOSCO Issues Two Final...

[31072] February 5, 2018 TO: ICI Members Investment Company Directors ICI Global Members Broker/Dealer Advisory Committee Investment Advisers Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee...

[31067] February 2, 2018 TO: ICI Members ICI Global Members Accounting/Treasurers Committee ICI Global Tax Committee Pension Committee SEC Rules Committee Tax Committee SUBJECTS: Tax RE: FinCEN Extends FBAR Filing Deadline for Persons with Signature Authority over Foreign Accounts In...

[31049] January 23, 2018 TO: SEC Rules Committee RE: Reminder: February 8th SEC Rules Committee Meeting, Draft Agenda Attached As you know, the next meeting of the SEC Rules Committee will take place on Thursday, February 8th. The meeting will take place at the Investment Company...

[31045] January 22, 2018 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Regulated Funds Committee SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure Fund Governance International/Global Investment Advisers RE: ICI Global Response to European...

[31040] January 19, 2018 TO: Pension Committee SEC Rules Committee RE: Final Revised ICI Draft Best Interest Standard of Conduct - Your Comments Requested by January 23 Thanks to those of you who participated in our call earlier this month to discuss ICI’s draft revised best interest...