SEC Rules Content

[30827] August 10, 2017 TO: ICI Members ICI Global Members Bank-Affiliated Member Advisory Committee ICI Global Regulated Funds Committee SEC Rules Committee RE: US Policymakers Consider Volcker Rule Reforms; Banking Regulators Grant Temporary Relief for Certain Foreign Funds Congress...

[30819] August 8, 2017 TO: ICI Members Investment Company Directors Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight...

[30810] August 1, 2017 TO: Accounting/Treasurers Committee SEC Rules Committee RE: Updates to ICI's Investment Company Reporting Modernization Resource Center We recently updated ICI’s Investment Company Reporting Modernization Resource Center to include additional materials that will...

[30806] July 28, 2017 TO: ICI Members ICI Global Members SUBJECTS: Derivatives International/Global Systemic Risk Trading and Markets RE: International Regulators Provide Guidance on CCP Resilience and Resolution The Basel Committee on Banking Supervision (BCBS), the Committee on...

[30807] July 28, 2017 TO: ICI Members SUBJECTS: 529 Plans Anti-Money Laundering Systemic Risk RE: ICI Submits Letter to Treasury Department Recommending Rule Modifications to Reduce Regulatory Burdens In June, the Treasury Department issued a request for information (RFI) seeking the...

[30796] July 21, 2017 TO: ICI Members SUBJECTS: Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Issues FAQs on Fund Reporting Rules Earlier this week, the Division of Investment Management of the Securities and Exchange Commission (“SEC” or “Commission”) issued the...

[30790] July 20, 2017 TO: Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter in Response to SEC Chairman's Statement on Standards of Conduct - Your Comments Requested by Thursday, July 27 SEC Chairman Jay...

[30787] July 20, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Cybersecurity Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight RE: ICI Submits Recommendations to SEC Chairman...

[30780] July 14, 2017 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...

[30778] July 14, 2017 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: ICI Submits Comment Letter on GIPS 20/20 Consultation Paper The CFA Institute issued its GIPS® 20/20...