Small Funds Content

[32242] February 26, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...

[32209] February 12, 2020 TO: Small Funds Committee RE: Registration Now Open: Small Funds Committee Meeting - May 5-6, 2020 The next meeting of the Investment Company Institute’s Small Funds Committee will be held on Tuesday, May 5 from 1:00 p.m. to 5:00 p.m. ET and on Wednesday, May...

[32203] February 10, 2020 TO: ICI Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: Investment Company...

[32171] January 24, 2020 TO: ICI Global Regulated Funds Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee RE: Draft Letter to Canadian Government on Proposed Overhaul of Data Privacy Legislation; Feedback Requested by February 3 The Canadian government...

[32170] January 23, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: ICI Sends Letter to...

[32162] January 17, 2020 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[32149] January 16, 2020 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on SEC Advisers Act Advertising and Cash Solicitation Rule Proposal; Feedback...

[32132] January 8, 2020 TO: ICI Members ESG Task Force SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Distribution Investment Advisers RE: SEC Examiners Focus on ESG The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published its 2020...

[32117] December 20, 2019 TO: Small Funds Committee RE: Registration Now Open: Small Funds Webinar M&A Landscape for Small Asset Managers, 1:00 p.m. to 2:00 p.m. ET, February 12, 2020 The next meeting of the Investment Company Institute’s Small Funds Committee will be held on...

[32107] December 18, 2019 TO: Research Committee Small Funds Committee RE: Research Report with Additional Detail from ICI's Annual Mutual Fund Shareholder Tracking Survey Each year, ICI conducts a telephone survey of US households to track households’ ownership of mutual funds and to...