SEC Rules Content

[31436] October 15, 2018 TO: ICI Global Regulated Funds Committee SEC Rules Committee RE: Draft Comment Letter on Canadian Securities Administrators' Client Focused Reforms Consultation - Feedback Requested by COB October 17 As we previously informed you, on June 21, 2018, the...

[31435] October 12, 2018 TO: Bank-Affiliated Member Advisory Committee ICI Global Regulated Funds Committee SEC Rules Committee RE: Draft ICI Comment Letter Recommending Volcker Rule Reforms for Regulated Funds; Feedback Requested by 10/16 As we reported previously, the five agencies...

[31432] October 12, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Fund Governance RE: SEC Staff Issues No-Action Letter on Board Oversight of Affiliated Transactions We are pleased to inform you that, in response to a request from IDC, the staff of the SEC’s...

[31427] October 9, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Your Views Requested by Oct 17th: ICI Draft Letter to SEC on Fund Retail Investor Experience As...

[31422] October 5, 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 a Fund Adviser and its Portfolio...

[31415] September 27, 2018 TO: Investment Company Directors SUBJECTS: Disclosure Exchange-Traded Funds (ETFs) Fund Governance RE: IDC Files Comment Letter on SEC's ETF Rule Proposal IDC filed the attached comment letter today on the SEC’s proposed rule for exchange-traded funds (ETFs)...

[31406] September 25, 2018 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee International Operations Advisory Committee SEC Rules Committee Security Valuation Operations Committee Tax Committee RE: SEBI Issues New Circulars on Foreign Portfolio Investor KYC...

[31407] September 25, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31403] September 25, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee ICI Global Regulated Funds Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: CFA Institute Issues GIPS Exposure Draft In late August the CFA...

[31401] September 24, 2018 TO: ICI Members ICI Global Members Global ESG Task Force ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Disclosure International/Global Investment Advisers RE: Hong Kong SFC Announces Green Finance Agenda The Hong Kong Securities...