SEC Rules Content

[31481] November 15, 2018 TO: ICI Members Investment Company Directors Investment Advisers Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Investment Advisers Transfer Agency RE...

[31482] November 15, 2018 TO: ICI Members SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Updates FAQs on Fund Reporting to Add Additional Questions Yesterday, the Division of Investment Management of the Securities and Exchange Commission updated...

[31473] November 12, 2018 TO: ICI Global Members Global ESG Task Force SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution International/Global Investment Advisers RE: ESG Task Force: EU Disclosure and Benchmarks Proposals; SEC Proxy Roundtable We cover the...

[31466] November 1, 2018 TO: ICI Members Investment Company Directors Operations Committee Processing Fees Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary...

[31460] October 30, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Disclosure Fund Governance RE: IDC Files Comment Letter on SEC's Investor Experience Release IDC filed the attached letter in response to the SEC’s request for comment on ways to enhance disclosures by...

[31456] October 24, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Investment Advisers RE: ICI Letter to SEC on Request for Comment on Retail Investor Experience We...

[31448] October 22, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: International/Global Systemic Risk RE: ICI Files Letter Urging Volcker Rule Reforms Relating to Regulated Funds As we reported previously, the five agencies (collectively, “Agencies”)...

[31441] October 17, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions an Adviser for Using Advertising...

[31442] October 17, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions an Adviser for Failing to Disclose a...

[31438] October 16, 2018 TO: Processing Fees Working Group SEC Rules Committee Small Funds Committee RE: Draft Comment Letter on Processing Fees; Feedback Requested by 10/24 As we reported previously, the SEC issued a request for comment on the framework for certain processing fees...