SEC Rules Content

[33273] March 19, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Operations Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Operations Transfer Agency RE: New Fraud Prevention Resources Available on ICI's Website We are...

[33272] March 19, 2021 TO: ICI Members Accounting/Treasurers Committee SEC Rules Committee Security Valuation Operations Committee SUBJECTS: Compliance Fixed Income Securities Fund Accounting & Financial Reporting Valuation RE: SEC FAQ Addresses Rule 2a-5 Compliance Date and Effect on...

[33239] March 17, 2021 TO: ICI Members Derivatives Markets Advisory Committee ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: ESG RE: CFTC Establishes New Climate Risk Unit On March 17, 2021, CFTC Acting Chairman Rostin Behnam announced that he has established the...

[33241] March 17, 2021 TO: ICI Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force Proxy Working Group SEC Rules Committee SUBJECTS: Disclosure ESG Fees and Expenses Investment Advisers RE: Speech by SEC Acting Chair Lee on Disclosure of Fund Proxy Voting On...

[33196] March 15, 2021 TO: ICI Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: Disclosure ESG RE: SEC Acting Chair Lee Speech on Climate and ESG Disclosure On March 15, 2021, SEC Acting Chair Allison Herren Lee gave a speech...

[33195] March 15, 2021 TO: ICI Members Audit Committee ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: Disclosure ESG RE: SEC Requests Public Input on Climate Change Disclosures On March 15, 2021, SEC Acting Chair Allison Herren Lee issued a public statement requesting...

[33194] March 15, 2021 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: ICI Submits Response to UK Treasury Consultation on Safe Harbours This week, ICI submitted a response to the HM Treasury (HMT)...

[33180] March 12, 2021 TO: ICI Members ESG Advisory Group ESG Task Force SUBJECTS: Disclosure ESG RE: SEC Division of Corporation Finance Acting Director Coates Speech on ESG Disclosure Mr. John Coates spoke today at the Annual Tulane Corporate Law Institute , highlighting some of the...

[33181] March 12, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: SEC Staff...

[33176] March 10, 2021 TO: ICI Members Investment Company Directors ICI Global Members Bank, Trust and Retirement Advisory Committee ESG Advisory Group ESG Task Force ICI Global Retirement Savings Committee Pension Committee Pension Operations Advisory Committee Proxy Working Group...