Fund Regulation Content

DRAFT of 6/13/2007 For Discussion Purposes Only June 15, 2007 European Commission Directorate-General Internal Market and Services B-1049 Brussels Belgium RE: Consultation on Possible Adjustments to the UCITS Directive Dear Sirs: The Investment Company Institute (ICI)1 applauds the...

June 14, 2007 Stephen B. Nolan, Action Director Office of the Director New Jersey Division of Consumer Affairs 124 Halsey Street P.O. Box 45027 Newark, NJ 07101 Re: Proposal PRN 2007-116 Relating to the Identity Theft Prevention Act Dear Mr. Nolan: The Investment Company Institute is...

Board of Governors Working Group Releases Report on Rule 12b-1 Washington, DC, May 31, 2007 - In January 2005, ICI's Board of Governors formed a working group to examine fund distribution issues, including the history and current role of Rule 12b-1. The working group submitted  a...

DRAFT of 5/21/07 For Discussion Purposes Only May 22, 2007 Fabrice Demarigny The Committee of European Securities Regulators 11-13 avenue de Friedland 75008 Paris FRANCE Re: CESR/07-241 – Key Investor Disclosures for UCITS CESR/07-214 – Questionnaire on Simplified Prospectus for...

ICI Chairman Flanagan Calls for Improved 401(k) Disclosure Speaks at Association’s 49th General Membership Meeting Washington, DC, May 10, 2007 - Investors in 401(k) plans deserve better disclosure than they currently get, and the mutual fund industry is working to see that they get...

Opening Address at ICI General Membership Meeting Brian Murdock ICI General Membership Meeting Chairman & President and CEO, New York Life Investment Management May 9, 2007 Washington, DC Good afternoon and welcome to the ICI’s 2007 General Membership Meeting. I’m Brian Murdock...

Mutual Fund Investors Rely on Professional Advice Shareholders Say They Value the Numerous Investment Services Advisers Provide Washington, DC, May 1, 2007 - Many mutual fund investors look to professional financial advisers to provide a wide range of investment and planning services...

ICI President’s Remarks at the Mutual Funds and Investment Management Conference When You Come to a Fork in the Road, Take It: Improving Financial Regulation in America Paul Schott Stevens President and CEO, Investment Company Institute March 26, 2007 Palm Desert, California Thank you...

ICI President Calls for Reform of Mutual Fund Disclosure ‘Quick-Start Guide’ Plus Web Access Will Better Inform Investors, Stevens Says Palm Desert, CA, March 26, 2007 – Mutual fund investors could receive better, more useful disclosure of the key information they need if regulators...

March 15, 2007 Ms. Pamela Vulpes IOSCO General Secretariat C/ Oquendo 12 28006 Madrid Spain RE: Comment on Consultation Report on Soft Commission Arrangements Dear Ms. Vulpes: The Investment Company Institute1 welcomes the IOSCO Technical Committee’s assessment of the value that soft...