Small Funds Content

[31319] August 7, 2018 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Sales and Marketing Committee Small Funds Committee Transfer Agent Advisory Committee RE: C-Share (Level Load) Conversion: Operational Considerations White...

[31304] July 27, 2018 TO: Small Funds Committee RE: Mark Your Calendar - 2019 Small Funds Meeting Schedule The Small Funds Committee meeting schedule for 2019 has been finalized. Please mark your calendar for the following meeting dates: April 30 & May 1 - ICI (Washington Marriott...

[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...

[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...

[31270] June 29, 2018 TO: ICI Members SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure RE: SEC Finalizes iXBRL Requirements The Commission voted on June 28 to require the use of Inline eXtensible Business Reporting Language (iXBRL) format for the submission of...

[31262] June 26, 2018 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF...

[31260] June 25, 2018 TO: Accounting/Treasurers Committee Auditor Independence Working Group Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on SEC's Proposed Amendments to the Loan...

[31254] June 20, 2018 TO: SEC Rules Committee Small Funds Committee RE: June 27 Conference Call; Invitation to Enhanced Fund Disclosure Working Group As you know, the SEC recently requested comment on improving fund disclosure. The SEC described this request for comment as the first...

[31250] June 19, 2018 TO: Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Conference Call on Response to SEC Request for Comment on Processing Fees As you know, the Commission recently requested comment on the overall framework for...