SEC Rules Content

[32197] February 6, 2020 TO: SEC Rules Committee RE: Reminder - February 26 SEC Rules Committee Meeting - Draft Agenda Attached The next meeting of the SEC Rules Committee is scheduled for Wednesday, February 26th. We are pleased to announce that our guest speakers will be Sarah ten...

[32198] February 6, 2020 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: International/Global Systemic Risk RE: US Agencies Propose Revisions to Volcker Rule "Covered Fund" Regulations; ICI Plans to Comment Last week, the five agencies (“Agencies”) [1]...

[32192] February 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter on the SEC's Proxy Advice and Rule 14a-8...

[32190] February 3, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure International/Global Investment Advisers Portfolio Oversight Risk Oversight RE: US SEC Statements on Climate Risk Disclosure On January 30, SEC Chairman Clayton, Commissioner Lee, and Commissioner Peirce each...

[32189] January 31, 2020 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory...

[32179] January 28, 2020 TO: Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Cybersecurity RE: OCIE Publishes Its Cybersecurity and Resiliency Observations OCIE has...

[32177] January 27, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee Risk Advisory Committee SEC...

[32171] January 24, 2020 TO: ICI Global Regulated Funds Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee RE: Draft Letter to Canadian Government on Proposed Overhaul of Data Privacy Legislation; Feedback Requested by February 3 The Canadian government...

[32167] January 22, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance Disclosure Investment Advisers Trading and Markets RE: US CFTC Market Risk Advisory Committee's Subcommittee's Planned Report on Climate-Related Financial and Market Risks The US CFTC’s Market Risk...

[32166] January 22, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee Risk Advisory Committee SEC...