Small Funds Content

[31438] October 16, 2018 TO: Processing Fees Working Group SEC Rules Committee Small Funds Committee RE: Draft Comment Letter on Processing Fees; Feedback Requested by 10/24 As we reported previously, the SEC issued a request for comment on the framework for certain processing fees...

[31427] October 9, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Your Views Requested by Oct 17th: ICI Draft Letter to SEC on Fund Retail Investor Experience As...

[31421] October 4, 2018 TO: Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Small Funds Committee Technology Committee RE: SEC Sanctions Broker-Dealer/Adviser for Cyber...

[31410] September 26, 2018 TO: Small Funds Committee RE: Small Funds Review of ICI Processing Fees Comment Letter A call has been organized to review comments ICI plans to submit to the SEC at the end of October. Linda French and Joanne Kane of the ICI will lead us through the...

[31408] September 26, 2018 TO: Small Funds Committee RE: Save the Date - Small Funds Committee Webinar 2019 The Small Funds Committee Webinar date for 2019 has been finalized. Please mark your calendar for the following meeting date: Thursday, February 14, 2019 Future details...

[31407] September 25, 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...

[31403] September 25, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee ICI Global Regulated Funds Committee Investment Advisers Committee SEC Rules Committee Small Funds Committee RE: CFA Institute Issues GIPS Exposure Draft In late August the CFA...

[31366] August 31, 2018 TO: Small Funds Committee RE: Registration Open - Small Funds Committee Meeting - November 8-9, 2018 The next meeting of the Investment Company Institute’s Small Funds Committee will be held on Thursday, November 8 from 1:00 p.m. to 5:00 p.m. ET and on Friday...

[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...

[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...