The Investment Company Institute's next Sales and Marketing Subcommittee Quarterly Meeting will take place on Thursday, September 8th 1:00 p.m.-2:00 p.m. ET.
[34223] July 14, 2022 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure ESG Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Amends its 2020 Proxy Advice Amendments Yesterday, the SEC adopted changes to its 2020...
In April, the International Organization of Securities Commissions (IOSCO) issued a discussion paper on the corporate bond markets, focusing on their experiences during the COVID-19 induced market stress of March 2020.
Last week, the SEC sanctioned an investment adviser and its Chief Compliance Officer (CCO) for failing to adhere to the adviser's compliance policies and procedures relating to the outside business activities (OBA) of an investment adviser representative (IAR) of the firm.
ICI has filed a letter with the Commodity Futures Trading Commission (CFTC or "Commission") on the CFTC's proposed amendments ("Proposal") to its swap clearing requirements reflecting the cessation of LIBOR and certain other IBORs and the transition to alternative reference rates (i.e...
ICI made the attached submission (survey response and letter) and joined a coalition letter with other industry associations in response to a public consultation regarding an initiative to develop an EU-wide withholding tax regime.
In recent weeks, the US Senate Committee on Health, Education, Labor and Pensions (HELP) and the US Senate Committee on Finance each approved bills that would make several improvements to the retirement system.
The Department of Labor (DOL) and the Treasury Department and Internal Revenue Service (IRS) recently issued their updated Spring 2022 Semi-Annual Regulatory Agendas (Agendas), which include projected dates for issuance of proposed and final regulations.
