Memos

[33462] April 15, 2021 TO: ICI MembersESG Advisory GroupESG Task ForceSEC Rules Committee SUBJECTS: DisclosureESGInternational/Global RE: SEC Commissioner Hester Peirce Statement on ESG Metrics On April 14, 2021, SEC Commissioner Hester Peirce issued a...

[33456] April 14, 2021 TO: Derivatives Markets Advisory CommitteeICI Global Brexit Task Force RE: UK Consultation on an Expanded Resolution Regime for UK CCPs - Member Comments Requested by 23 April 2021 On 24 February 2021, Her Majesty?s Treasury (HMT)...

[33457] April 14, 2021 TO: ICI MembersChief Compliance Officer CommitteeInvestment Advisers CommitteeRegistered Fund CPO Advisory Committee SUBJECTS: ComplianceCPO/CTADerivativesIntermediary OversightInvestment Advisers RE: New NFA Rule and Interpretive...

[33459] April 14, 2021 TO: ESG Task ForceEU ESG Disclosure Regulation Working Group RE: Materials for the Call on the ESAs' Consultation on Taxonomy Article 8 & 9 product disclosure RTS - 15 April, at 16:00 BST/17:00 CET Ahead of the call on 15 April, at 16:00...

[33411] April 1, 2021 TO: ICI Members SUBJECTS: Audit and AttestClosed-End FundsFund Accounting & Financial Reporting RE: SEC Issues Dear CFO Letter for Investment Companies On March 30, 2021 the staff of the Chief Accountant?s Office in the Division of...

[32376] April 9, 2020 TO: ICI MembersInvestment Company Directors SUBJECTS: Closed-End FundsComplianceDisclosureFund GovernanceIntermediary OversightInvestment AdvisersOperationsTransfer Agency RE: SEC Staff Issues Updated Guidance on Shareholder Meetings in...

[32317] March 25, 2020 TO: ICI MembersInvestment Company Directors SUBJECTS: ComplianceDisclosureFund Accounting & Financial ReportingFund GovernanceInvestment AdvisersOperationsPortfolio OversightRisk OversightTransfer Agency RE: SEC Division of Investment...

[32047] November 11, 2019 TO: Chief Compliance Officer CommitteeSEC Rules Committee RE: SEC Sanctions Broker-Dealer/Investment Adviser for Use of Faulty Share Class Selection Calculator The SEC has settled an enforcement proceeding with a firm dually...

[30371] November 1, 2016 TO: Bank, Trust and Retirement Advisory CommitteeBroker/Dealer Advisory CommitteeCCO Advisory Issues SubcommitteeChief Compliance Officer CommitteeOperations CommiteePension Operations Advisory CommitteePrincipal Underwriters Working...