April 15, 2021
 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
UK Consultation on an Expanded Resolution Regime for UK CCPs - Member Comments Requested by 23 April 2021
 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)...
April 14, 2021
 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 14, 2021
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
 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...
April 1, 2021
 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...
April 9, 2020
 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...
March 25, 2020
SEC Division of Investment Management Provides Inventory of Modified or Withdrawn Staff No-Action Letters and Other Staff Guidance
 March 25, 2020 TO: ICI MembersInvestment Company Directors SUBJECTS: ComplianceDisclosureFund Accounting & Financial ReportingFund GovernanceInvestment AdvisersOperationsPortfolio OversightRisk OversightTransfer Agency RE: SEC Division of Investment...
November 11, 2019
 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...
November 1, 2016
White Paper: Examples of Share Class Structures Members Are Considering in Connection with Implementation of the DOL Fiduciary Rule
 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...