Fiduciary Issues Content

Filed Electronically August 6, 2020 Office of Exemption Determinations Employee Benefits Security Administration Attention: Application No. D–12011 U.S. Department of Labor 200 Constitution Avenue N.W., Suite 400 Washington, DC 20210 RE: Improving Investment Advice for Workers &...

ppr_19_operational_process.pdf

Building a Fiduciary Culture in the Fund Industry China’s Fund Industry 20th Anniversary International Forum Paul Schott Stevens President and CEO Investment Company Institute 22 October 2018 Beijing, China As prepared for delivery. Thank you, Chairman Hong [Hong Lei, Chairman, Asset...

ICI Welcomes Treasury Report on Asset Management Regulation Stands Ready to Help Advance Constructive Recommendations Washington, DC, October 26, 2017— Investment Company Institute (ICI) President and CEO Paul Schott Stevens issued the following statement upon the release today by the...

September 15, 2017 Filed Electronically Office of Exemption Determinations Employee Benefits Security Administration Attention: D–11712, 11713, 11850 US Department of Labor 200 Constitution Avenue NW, Suite 400 Washington, DC 20210 Re: RIN 1210-AB82; Proposed Rule; Extension of...

ICI: Investors Will Win If SEC Swiftly Adopts—and DOL Recognizes—Best-Interest Standard for Brokers In Letters to Regulators, ICI Urges Consistent Best-Interest Standard for Brokers Serving Both Retirement and Non-Retirement Accounts Washington, DC, August 8, 2017—The Securities and...

August 7, 2017 The Honorable Jay Clayton Chairman Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Public Comments from Retail Investors and Other Interested Parties on Standards of Conduct for Investment Advisers and Broker-Dealers Dear Chairman Clayton...

August 7, 2017 Filed Electronically Office of Exemption Determinations Employee Benefits Security Administration Attention: D-11933 US Department of Labor 200 Constitution Avenue N.W., Suite 400 Washington, DC 20210 Re: RIN 1210-AB82; Request for Information Regarding the Fiduciary...

July 21, 2017 Filed Electronically Office of Exemption Determinations Employee Benefits Security Administration Attention: D-11933 U.S. Department of Labor 200 Constitution Avenue N.W., Suite 400 Washington, DC 20210 Re: RIN 1210-AB82; Request for Information Regarding the Fiduciary...

Urges Immediate Delay and Completion of Rule Changes Within a Year Washington, DC, July 21, 2017—The Department of Labor (DOL) must immediately delay the January 1, 2018, applicability date for the remaining elements of its fiduciary rulemaking to provide needed certainty and reduce...