Risk Management Content

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August 23, 2016 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Adviser Business Continuity and Transition Plans Proposal (File No. S7-13-16) Dear Mr. Fields: The Investment Company Institute1 appreciates the opportunity to...

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ICI Responds to Financial Stability Board Report Washington, DC, June 22, 2016— Investment Company Institute President and CEO Paul Schott Stevens today issued the following statement in response to the report by the Financial Stability Board (FSB), Proposed Policy Recommendations to...

May 17, 2016 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Supplemental Comments on Open-End Fund Liquidity Risk Management Programs (File No. S7-16-15) Dear Mr. Fields: The Investment Company Institute (“ICI”)1 is pleased...

Focus on Funds SEC Liquidity Proposal: Good Goals, Unintended Consequences The January 15, 2016, edition of Focus on Funds summarizes the Institute’s response to the Securities and Exchange Commission’s liquidity risk management proposal. Transcript Stephanie Ortbals-Tibbs, ICI...

Quick Take: ICI Response to SEC’s Liquidity Management Proposal The SEC’s Proposed Minimum Liquidity Levels Could Harm Investors Among other things, the SEC’s proposed liquidity minimum could impede funds’ ability to take advantage of favorable market opportunities and to accurately...

16_sec_lrm_factsheet.pdf

January 13, 2016 The Honorable Mary Jo White Chair Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Summary of ICI and IDC Comments on the SEC’s Liquidity Risk Management Proposal Dear Chair White: Today the Investment Company Institute1 and the Independent...