Small Funds Content

The Small Funds Committee Regulatory Update will take place on Wednesday, September 22 from 4:00-5:00 pm ET. ICI guest speaker for the update will be Kristin Snyder SEC Co-Deputy Director Division of Examinations.

On August 12, the International Organization of Securities Commissions (IOSCO) published the results of its examination of the behavior of exchange-traded funds (ETFs) during the COVID-19 induced market stress (the "Report").

Earlier this week, the SEC sanctioned eight firms in three actions for failures in their data security practices relating to cloud-based email accounts. While the respondents in these actions neither admitted nor denied the alleged violations, below are the findings from the SEC's...

The OBO/NOBO Working Group, an industry working group created at the SEC staff's request, yesterday submitted the attached report to the SEC staff ("Report"). Significantly, Working Group participants representing broker-dealers, public companies, and funds agreed that the SEC should...

Eight fund industry associations today sent to the Organisation for Economic Co-operation and Development (OECD) the attached coalition letter that we crafted; the letter makes specific recommendations for applying to funds the OECD's proposed "Pillar Two" minimum tax. The specific...

On 20 August 2021, the Standing Committee of the National People's Congress (NPC), China's top legislative authority, adopted the Personal Information Protection Law of the People's Republic of China, the first law specifically regulating the protection of personal data in China.

On 10 June 2021, the Standing Committee of the National People's Congress (NPC), China's top legislative authority, enacted the Data Security Law of the People's Republic of China (DSL). The DSL will take effect on 1 September 2021.