Memos

Recent Memos

April 15, 2021
Memo #33462

SEC Commissioner Hester Peirce Statement on ESG Metrics

[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...
April 14, 2021
Memo #33457

New NFA Rule and Interpretive Notices Regarding CPOs and CTAs

[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...
April 1, 2021
Memo #33411

SEC Issues Dear CFO Letter for Investment Companies

[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...