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Committee

Risk Advisory Committee

The Risk Advisory Committee consists of representatives of ICI members who are interested in or have limited responsibility for risk oversight in fund complexes but who are not Chief Risk Officers.
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Comment Letter

ICI Comment Letter on the CIRCIA Proposal

July 3, 2024— in this letter ICI provides its views on the notice of proposed rulemaking on Cyber Incident Reporting for Critical Infrastructure Act (CIRCIA) Reporting Requirements from the Cybersecurity and Infrastructure Security Agency of the Department of Homeland Security.
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Comment Letter

ICI Comment Letter on SEC's Cybersecurity Risk Management

The Investment Company Institute appreciates the opportunity to provide its comments on the proposal by the Securities Exchange Commission (the Commission or SEC) to require various SEC-covered entities, including broker-dealers and transfer agents, to adopt and implement written...
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Memo#
34512

SEC Staff Modifies Relief from Rule 15c2-11 for Fixed Income Securities

On November 30, the SEC staff provided updated no-action relief from the application of Rule 15c2-11 for broad categories of fixed income securities (the "letter"). The letter provides temporary relief with respect to those fixed income securities until January 4, 2025.