Conquering Current Compliance Challenges
April 10, 2019 | 2:00 - 2:30 PM EST

Real-Life Lessons Learned from Peers Who’ve Had to Implement their BCPs
April 16, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: March 13, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
INVESTMENT COMPANY ACT - PROPOSED RULES
Release No. Title Date
33-10590; IC-33329 Fund of Funds Arrangements 12/19/2018
33-10569; 34-84508; IC-33286 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 10/31/2018
33-10515; IC-33140 Exchange-Traded Funds 06/29/2018
33-10498; 34-83307; IC-33106 Covered Investment Fund Research Reports 05/24/2018
IC-33046 Investment Company Liquidity Disclosure 03/14/2018
IC-31933 Use of Derivatives by Registered Investment Companies and Business Development Companies 12/11/2015
33-9922; IC-31835 Open-End Fund Liquidity Risk Management Programs 09/22/2015
33-9776; 34-75002; IC-31610; Investment Company Reporting Modernization 05/22/2015
IC-31004 Target Date Retirement Fund Names and Marketing 04/04/2014
IC-30595 Proposed Form D Amendments 07/10/2013
IC-29592 Credit Ratings in Certain Investment Company Act Rules 03/04/2011
IC-29463 Reporting of Proxy Votes on Executive Compensation 10/28/2010
IC-29367 Mutual Fund Distribution Fees: Confirmations 08/04/2010
IC-29301 Investment Company Advertising: Target Date Funds 06/23/2010
IC-28327; IA-2751 References to Ratings of Nationally Recognized Statistical Rating Organizations 07/01/2008
33-8901; IC-28193 Exchange-Traded Funds 03/11/2008
IC-26375A Mandatory Redemption Fees for Redeemable Fund Securities 05/10/2004
IC-26288 Amendments to Rules Governing Pricing of Mutual Fund Shares 12/11/2003
IC-25925, IA-2107 Compliance Programs of Investment Companies and Investment Advisers 02/05/2003
IC-24890; IA-1932: Electronic Recordkeeping by Investment Companies and Investment Advisers 03/13/2001
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