SEC Rules Content

[31765] May 16, 2019 TO: ICI Members ICI Global Members AML Compliance Working Group Chief Compliance Officer Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Anti-Money Laundering Compliance International/Global Litigation...

[31759] May 14, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Systemic Risk RE: ICI Files Comment Letter on FSOC Proposal to Reform Nonbank SIFI Designation Process As we reported previously, the Financial Stability Oversight Council (FSOC) issued a proposal in March to...

[31741] May 6, 2019 TO: ICI Members Investment Company Directors Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Securities Regulation Advisory Group SEC Rules Committee SUBJECTS: Closed-End Funds Exchange-Traded Funds (ETFs)...

[31740] April 30, 2019 TO: ICI Global Members Global ESG Task Force ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Disclosure RE: Hong Kong SFC Guidance on ESG-Labeled Funds and Survey on ESG Integration The Hong Kong Securities and Futures Commission (SFC)...

[31738] April 29, 2019 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance RE: ICI Files Comment Letter on SEC's Proposal Expanding Pre-Filing Communications with...

[31725] April 23, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance...

[31726] April 23, 2019 TO: SEC Rules Committee RE: 2019 Schedule of Remaining SEC Rules Committee Meetings As we approach mid-year 2019, we wanted to provide you with the remaining dates for this year’s SEC Rules Committee meetings. Please register for the summer meeting via the...

[31715] April 15, 2019 TO: Closed-End Investment Company Committee ICI Securities Regulation Advisory Group SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Proposal Expanding Pre-Filing Communications with Certain Prospective Investors; Member Comments...

[31710] April 11, 2019 TO: Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Securities Regulation Advisory Group SEC Rules Committee Small Funds Committee Unit Investment Trust Committee Variable Insurance Products Advisory...

[31708] April 10, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Staff Issues Liquidity FAQ on Extended Holiday...