Operations and Technology Content

February 13, 2012 Markus Ferber European Parliament Rue Wiertz Altiero Spinelli 15E242 B-1047 Brüssel Re: Questionnaire on MiFID/MiFIR 2 Dear MEP Ferber: The Investment Company Institute (“ICI”) and ICI Global appreciate the opportunity to provide comments on the review of the...

12/14/201112/14/201112/14/2011 December 14, 2011 Mr. J. Gordon Seymour Secretary Public Company Accounting Oversight Board 1666 K Street, N.W. Washington, DC 20006-2803 Re: Concept Release on Auditor Independence and Audit Firm Rotation; Rulemaking Docket Matter No. 37 Dear Mr...

Statement of the Investment Company Institute ERISA Advisory Council Working Group on Privacy and Security Issues Affecting Employee Benefit Plans September 1, 2011 (Submitted August 30, 2011) The Investment Company Institute, the national association of U.S. investment companies,1 is...

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A key issue for ICI’s Operations team is regulator interest in harmonizing worldwide accounting standards. As Donald Boteler, ICI’s Vice President for Operations and Continuing Education, said in ICI’s latest annual report, “It’s a noble purpose, but it’s a big, big challenge.”

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October 9, 2009 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA’s Proposed Rule 2232, Customer Confirmations; File No. SR-FINRA-2009-058 Dear Ms. Murphy: The Commission recently published for comment FINRA...

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idc_09_compliance.pdf

June 16, 2009 By Electronic Delivery Douglas H. Shulman Stuart A. Levey Commissioner Under Secretary for Terrorism and Financial Internal Revenue Service Intelligence 1111 Constitution Avenue, N.W. U.S. Department of the Treasury Washington, DC 20224 1500 Pennsylvania Avenue, N.W...