Operations and Technology Content

Mar 31, 2014

Financial Stability and U.S. Mutual Funds Paul Schott Stevens President and CEO Investment Company Institute March 17, 2014 Mutual Fund and Investment Management Conference Orlando, FL As prepared for delivery. Thank you, Heidi [Hardin, General Counsel, Janus Capital Management]. It...

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ICI Releases Updated Framework for Fund Industry Intermediary Oversight Washington, DC, January 24, 2014 - The Investment Company Institute (ICI) has released an update to the Financial Intermediary Controls and Compliance Assessment (FICCA) framework to assist mutual funds with the...

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November 1, 2013 Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Public Feedback on OFR Study on Asset Management Issues (SEC File No. AM-1) Dear Ms. Murphy: The Investment Company Institute1 greatly appreciates...

October 17, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-1090 RE: FINRA’s Consolidated Supervisory Rules; File No. SR-FINRA-2013-025 Dear Ms. Murphy: The Investment Company Institute (the “Institute” or “ICI”)1...

September 23, 2013 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: Amendments to Regulation D, Form D and Rule 156 under the Securities Act (File No. S7-06-13) Dear Ms. Murphy: The Investment Company Institute1 is...

September 10, 2013 Mr. Steven Maijoor Chair European Securities and Markets Authority CS 60747 103 Rue de Grenelle 75345 Paris Cedex 07 France Re: Discussion Paper on the Clearing Obligation under EMIR Dear Mr. Maijoor: The Investment Company Institute (“ICI”)1 and ICI Global2...

July 29, 2013 Elizabeth M. Murphy, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Re: FINRA Consolidated Supervision Rules; File No. SR-2013-025 Dear Ms. Murphy: The Investment Company Institute (“ICI”)1 appreciates the opportunity to...