Small Funds Content

[30949] November 14, 2017 TO: ICI Members Operations Committee Small Funds Committee TAAC Abandoned Property Task Force Transfer Agent Advisory Committee SUBJECTS: Abandoned Property and Escheatment Operations Recordkeeping Transfer Agency RE: White Paper--Indication of Death: Common...

[30943] November 8, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small...

[30927] October 26, 2017 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...

[30924] October 24, 2017 TO: Small Funds Committee RE: Mark Your Calendar - 2018 Small Funds Meeting Schedule The Small Funds Committee meeting schedule for 2018 has been finalized. Please mark your calendar for the following meeting dates: February 13May 21 & May 22 November 8 & 9...

[30912] October 17, 2017 TO: Investment Company Directors SEC Rules Committee Small Funds Committee SUBJECTS: Fund Governance RE: IDC Letter to SEC Staff on Modernizing Directors' Responsibilities IDC submitted the attached letter to Dalia Blass, the SEC’s new Director of the Division...

[30862] September 5, 2017 TO: ICI Members SEC Rules Committee Small Funds Committee SUBJECTS: Disclosure RE: Creation of Disclosure Working Group - Initial Call on October 4 We are forming a disclosure-focused working group that will provide a forum to discuss comments that members...

[30847] August 22, 2017 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee...

[30831] August 11, 2017 TO: AML Compliance Working Group Compliance Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Customer Due Diligence Social Code Categorization Matrix We are pleased to announce the...

[30819] August 8, 2017 TO: ICI Members Investment Company Directors Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution Fees and Expenses Intermediary Oversight...