SEC Rules Content

[33170] March 9, 2021 TO: ICI Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: Disclosure ESG RE: SEC ESG Updates: Enforcement Task Force, Examination Priorities, and Commissioners' Statement Last week, the SEC announced the...

[33172] March 9, 2021 TO: ICI Members SUBJECTS: Compliance Fees and Expenses Intermediary Oversight Operations Transfer Agency RE: Action Requested - Register to Participate in 2021 ICI Mutual Fund Transfer Agents Trends & Billing Practices Survey The Investment Company Institute...

[33165] March 8, 2021 TO: ICI Members ICI Global Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SEC Rules Committee SUBJECTS: Disclosure ESG International/Global RE: IFRS...

[33161] March 5, 2021 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: UK Financial Conduct Authority Formally...

[33158] March 4, 2021 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee Internal Audit Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering...

[33147] March 2, 2021 TO: ICI Members ICI Global Members SUBJECTS: COVID-19 Cybersecurity Derivatives Disclosure Distribution ESG Exchange-Traded Funds (ETFs) Financial Stability International/Global Money Market Funds Technology & Business Continuity Valuation RE: IOSCO Releases Work...

[33146] March 2, 2021 TO: ICI Members Fixed-Income Advisory Committee SEC Rules Committee SUBJECTS: Fixed Income Securities Trading and Markets RE: ICI Files Comment Letter to SEC on Government Securities ATS Proposed Rule and Electronic Corporate Bond and Municipal Securities Markets...

[33143] March 2, 2021 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Disclosure Working Group ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Disclosure ESG RE: SEC Investor Bulletin on ESG Funds On...

[33133] February 25, 2021 TO: ICI Members SEC Rules Committee Variable Insurance Products Advisory Committee SUBJECTS: Fees and Expenses Investment Advisers Variable Insurance Products RE: SEC Issues Statement Providing No-Action Relief for Substitution of Variable Insurance Product...

[33130] February 24, 2021 TO: ICI Members ICI Global Members ESG Advisory Group ESG Task Force EU ESG Disclosure Regulation Working Group ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SEC Rules Committee SUBJECTS: ESG International/Global RE: Updated...