SEC Rules Content

[32134] January 9, 2020 TO: Bank-Affiliated Member Advisory Committee SEC Rules Committee RE: ICI Call to Discuss Regulation O and Potential Implications for Asset Managers On January 16, ICI will hold a member call to discuss issues arising under the Federal Reserve Board’s...

[32132] January 8, 2020 TO: ICI Members ESG Task Force SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Distribution Investment Advisers RE: SEC Examiners Focus on ESG The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published its 2020...

[32133] January 8, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Issues Proposal to Update Accredited Investor and Qualified Institutional Buyer Definitions The Securities and Exchange Commission recently issued a proposal to update the definitions of...

[32131] January 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity...

[32129] January 8, 2020 TO: SEC Rules Committee RE: SEC Issues Proposal to Update Accredited Investor and Qualified Institutional Buyer Definitions; Call Scheduled for January 16 at 2:00 PM ET The Securities and Exchange Commission recently issued a proposal to update the definitions...

[32128] January 6, 2020 TO: ICI Global Members ESG Task Force ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers RE: Update on ESG-Related Policy Developments in Hong Kong The Hong Kong...

[32124] December 23, 2019 TO: ICI Members ICI Global Members SUBJECTS: Derivatives International/Global Systemic Risk RE: IOSCO Recommends Framework for Assessing Fund Leverage The International Organization of Securities Commissions recently recommended a two-step framework to...

[32123] December 23, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Operations Transfer Agency RE: ICI Submits Report to the SEC on the Fund Proxy System In June, ICI submitted a comment letter to the SEC on the...

[32115] December 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Municipal Securities Advisory Committee SUBJECTS: Derivatives Disclosure Fixed Income Securities Fund Accounting & Financial...

[32111] December 18, 2019 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Taxonomy Legislation: Final Agreement Reached The European co-legislators...