SEC Rules Content

The Investment Company Institute and Independent Directors Council filed an amicus curiae (“friend of the court”) brief in Twin Rivers Paper Company, LLC. et. al. v. United States Securities and Exchange Commission. The case concerns a challenge to recently adopted Investment Company...

[31562] January 16, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Technology Committee SUBJECTS: Cybersecurity Litigation & Enforcement RE: SEC Brings Charges Related to 2016 EDGAR Hacking Case As you may recall, in...

[31553] January 10, 2019 TO: ICI Global Members Global ESG Task Force SUBJECTS: Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESG Task Force: 15 Jan Call on ESMA Consultation & MiFID II DAs on Including ESG Preferences in Suitability Call on ESMA...

[31551] January 9, 2019 TO: SEC Rules Committee RE: Notice of SEC Rules Committee Meeting on February 20, 2019 The next meeting of the SEC Rules Committee has been scheduled for Wednesday, February 20th, 2019. We are pleased to have as our guest speaker SEC Commissioner Hester Peirce...

[31540] January 2, 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 Small Funds Committee Unit Investment Trust Committee...

[31538] December 31, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity Exchange-Traded Funds (ETFs) Fixed Income Securities...

[31532] December 21, 2018 TO: ICI Members SUBJECTS: Audit and Attest Valuation RE: PCAOB Finalizes Fair Value Measurement Audit Standard The Public Company Accounting Oversight Board recently adopted a new audit standard on accounting estimates, including fair value measurements. [1]...

[31533] December 21, 2018 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: ICI Comments on CFA Institute's GIPS Exposure Draft In late August the CFA Institute [1] issued...

[31526] December 20, 2018 TO: ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESMA Consultation on ESG Integration The European Securities and Markets...

[31528] December 20, 2018 TO: ICI Members ICI Global Members ICI Global Investing Subcommittee ICI Global Regulated Funds Committee International Operations Advisory Committee SEC Rules Committee Security Valuation Operations Committee Tax Committee SUBJECTS: International/Global RE...