Investment Advisers Content

On behalf of our members, we request that the Securities and Exchange Commission (the “Commission”) extend the comment period to the above-referenced proposed rules (the “Proposal”) for an additional 60 days. Collectively, our associations represent a wide range of market participants...

July 27, 2023: ICI President and CEO Eric Pan released the following statement on the Financial Stability Oversight Council’s (FSOC) proposals to develop an analytic framework for financial stability risk identification and change the process to designate a non-bank as a systemically...

In this letter, we highlight serious concerns with the Council’s approach. As compared with the Current Guidance, the Proposals take a step backward in terms of the rigor required of FSOC’s analyses of perceived risks to financial stability and appear to lower the bar for Council...

ICI released the following statement on a proposal from the Securities and Exchange Commission (SEC) aimed at addressing possible conflicts of interest in investment advisers' and broker dealers' use of predictive data analytics, AI, and other technologies.

With the Retail Investment Strategy (RIS), the European Union has a chance to empower tens, perhaps hundreds, of millions of people to chart a stronger financial future. There is an opportunity to create a framework that will enable and incentivize retail savers to invest in the...

In the April Commission Statement Relating to Certain Administrative Adjudications and the Second Commission Statement Relating to Certain Administrative Adjudications, the Securities and Exchange Commission (Commission or SEC) announced that there had been an ongoing internal breach...