Fund Regulation Content

Focus on Funds Industry Prepares for New Liquidity Management Regime The US Securities and Exchange Commission has unveiled new rules covering how funds should manage liquidity. In the January 27, 2016, edition of Focus on Funds, ICI Assistant General Counsel Matt Thornton describes...

26 January 2017 VIA EMAIL: FCAMission@fca.org.uk Financial Conduct Authority 25 The North Colonnade Canary Wharf London E14 5HS Re: Our future Mission Dear Sir or Madam, ICI Global1 appreciates the opportunity to comment on Our future Mission (“Mission”), the Financial Conduct...

             

January 12, 2017 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Comments on Continued Listing Standards for Exchange-Traded Products File No. SR-NASDAQ-2016-135 File No. SR-BatsBZX-2016-80 File No. SR-NYSEArca-2017-01 Dear...

December 9, 2016 Mr. Robert E. Feldman Executive Secretary Federal Deposit Insurance Corporation 550 17th Street, N.W. Washington, D.C. 20429 Re: Restrictions on Qualified Financial Contracts of Certain FDIC-supervised Institutions; Revisions to the Definition of Qualifying Master...

December 5, 2016 Submitted Electronically Office of Regulations and Interpretations Employee Benefits Security Administration Attn: RIN 1210-AB63 Annual Reporting and Disclosure Room N-5655 US Department of Labor 200 Constitution Avenue NW Washington, DC 20210 Re: Proposed Revision of...

pdf

III.

Welcoming Remarks 2016 Global Capital Markets Conference Dan Waters Managing Director ICI Global 1 December 2016 London As prepared for delivery. Good afternoon, and welcome everyone. Thank you for joining us this afternoon for our Global Capital Markets Conference. As some of you...

November 28, 2016 Brent J. Fields, Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549-1090 Re: FINRA Proposal Relating to Rules 4512 and 2165; File No. SR-FINRA-2016-039 Dear Mr. Fields: The Investment Company Institute1 (the “Institute”) is...