SEC Rules Content

[31311] August 1, 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...

[31303] July 27, 2018 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee International Operations Advisory Committee SEC Rules Committee Securities Operations Advisory CommitteeTax Committee RE: Draft Letter on SEBI KYC Norms for Foreign Portfolio Investors -...

[31299] July 25, 2018 TO: SEC Rules Committee Small Funds Committee RE: ICI Draft Letter to SEC on Standards of Conduct Proposals for Investment Professionals In April, the SEC issued a proposed three-part package of rulemakings and an interpretation to address standards of conduct...

[31293] July 19, 2018 TO: Chief Compliance Officer Committee Operations Committee SEC Rules Committee Technology Committee RE: California Enacts New Privacy Law; ICI Creating a Working Group to Discuss the Law's Impact on Funds On June 28th, California Governor Jerry Brown signed into...

[31279] July 13, 2018 TO: ICI Members AML Compliance Working Group Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Money Market Funds Advisory Committee Money Market Working Group Operations Committee SEC Rules Committee...

[31285] July 12, 2018 TO: ICI Members Chief Compliance Officer Committee Small Funds Committee SUBJECTS: Compliance Investment Advisers RE: SEC's OCIE Publishes a Risk Alert on Compliance Issues Related to Best Execution by Investment Advisers Yesterday the SEC’s Office of Compliance...

[31280] July 9, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: ICI Submits Comment Letter on SEC's FAIR Act Rule Proposal In May the...

[31278] July 9, 2018 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee International Operations Advisory Committee SEC Rules Committee Securities Operations Advisory Committee RE: Member Call on New SEBI KYC Norms for Foreign Portfolio Investors - July 18, 10...

[31281] July 9, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting RE: ICI and IDC Submit Joint Comment Letter on SEC Loan Rule Proposal On May 2, the Securities and Exchange Commission issued...

[31274] July 3, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Adopts...