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FAQ

Mutual Fund Fee Disclosure: FAQs

Frequently Asked Questions About Mutual Fund Fee Disclosure How can investors find out about a mutual fund’s fees? Mutual funds are subject to more exacting regulatory standards and disclosure requirements than most other financial products. Every mutual fund must disclose all of its...
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Memo#
33043

DOL Issues New Guidance on Missing Participants of ERISA Plans

[33043] January 14, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Pension Committee Pension Operations Advisory Committee TAAC Abandoned Property Task Force Transfer Agent Advisory Committee SUBJECTS: Abandoned Property and Escheatment Pension RE: DOL Issues New...
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Memo#
32690

CFTC Proposes to Amend Margin Requirements for Non-Cleared Swaps

On August 14, the CFTC issued two proposals to amend certain margin requirements for non-cleared swaps for swap dealers (SDs) and major swap participants (MSPs) (collectively, “covered swap entities” or CSEs). The CFTC Global Markets Advisory Committee’s Subcommittee on Margin...