Fund Regulation Content

June 19, 2017 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs—FINRA Special Notice, dated March 21, 2017 Dear Ms. Mitchell: The Investment...

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Independent directors and chief compliance officers (CCOs) form an important team on behalf of fund shareholders. In the May 26, 2017, edition of Focus on Funds, veteran independent director Kathie Barr describes the evolving relationship between boards and CCOs.

Focus on Funds Today’s Funds Need Modern Portfolio Management Rules ICI is calling on leaders at the US Securities and Exchange Commission (SEC) to reconsider the agency’s approach to fund use of derivatives. ICI General Counsel David Blass outlines a regulatory structure that would...

1 May 16, 2017 Mr. Brent J. Fields Secretary US Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549-9303 Re: Proposed Rule on Inline XBRL Filing of Tagged Data (File Number S7-03-17) Dear Mr. Fields: The Investment Company Institute1 appreciates the opportunity...

May 15, 2017 Basel Committee on Banking Supervision Bank for International Settlements CH-4002 Basel Switzerland Re: Guidelines: Identification and management of step-in risk Dear Sirs and Mesdames: ICI Global1 appreciates the opportunity to comment on the Basel Committee on Banking...

May 15, 2017 Mr. Brent J. Fields Secretary US Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Proposed Amendments to Exchange Act Rule 15c2-12 Dear Mr. Fields: The Investment Company Institute1 strongly supports the Securities and Exchange Commission...

Focus on Funds ICI Outlines Measures to Enhance Economic Growth The US Securities and Exchange Commission (SEC) has a new chairman focused on spurring domestic capital investment and economic growth, and the $20 trillion US fund industry could play an important role. In the May 12...

Regulatory Address 59th Annual General Membership Meeting Paul Schott Stevens President and CEO Investment Company Institute May 5, 2017 Marriott Wardman Park Hotel Washington, DC As prepared for delivery. Thank you, Jim [McNamara, GMM chairman, and president and CEO, Goldman Sachs...

Welcoming Remarks 59th Annual General Membership Meeting James McNamara GMM Chair President and CEO, Goldman Sachs Mutual Funds May 3, 2017 Marriott Wardman Park Hotel Washington, DC As prepared for delivery. Thank you everyone, and welcome to the 2017 ICI General Membership meeting...