SEC Rules Content

[31363] August 30, 2018 TO: Chief Compliance Officer Committee SEC Rules Committee RE: SEC Sanctions Mutual Fund Advisers for Using Faulty Quant Models and Failing to Let Investors Know The SEC has settled an enforcement action with four affiliated firms – two investment advisers, a...

[31354] August 28, 2018 TO: ICI Members SUBJECTS: Disclosure Fees and Expenses Fund Accounting & Financial Reporting RE: SEC Adopts Changes to Regulation S-X The Securities and Exchange Commission recently adopted amendments to certain financial statement disclosure requirements to...

[31349] August 24, 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...

[31345] August 23, 2018 TO: ICI Members Investment Company Directors ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compensation/Remuneration Disclosure International/Global Investment Advisers RE: ICI Global Response to European Commission on...

[31343] August 21, 2018 TO: ICI Global Regulated Funds Committee SEC Rules Committee RE: ICI Submits Comment Letter to FTC on Common Ownership The Federal Trade Commission (FTC) announced hearings on competition and consumer protection in the 21st century in June. [1] Included on the...

[31334] August 15, 2018 TO: ICI Members SUBJECTS: Fund Accounting & Financial Reporting Valuation RE: ICI Submits Comment Letter on AICPA Working Draft of Accounting and Valuation Guide The Institute recently filed the attached comment letter on a working draft of an AICPA Accounting...

[31320] August 7, 2018 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee...

[31316] August 6, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Investment Advisers Operations State Issues Systemic Risk Technology & Business Continuity RE: Treasury Issues Report on Nonbank Financials, Fintech, and Innovation, the Fourth Report in a...

[31314] August 6, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Announces Staff Roundtable on the Proxy Process In a July 30 statement, SEC...

[31313] August 2, 2018 TO: ICI Members ICI Global Members ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: International/Global RE: Canadian Securities Administrators Published Request for Comment on Client Focused Reforms and Status Report on Embedded Commissions On...