Home Investment Company Institute (ICI)

Investment Company Institute (ICI)

The financial services industry and a watchful market determining how best to react
A new Investment Company Institute report on proxy voting released July 29 reveals that fund advisers don’t mechanically vote or take a one-size-fits-all approach when ...
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to ...
Evidence supports delaying the SEC’s liquidity risk management program rule and its related reporting requirements at least one year would be appropriate.  That’s the take ...
For some industry heavy hitters, the 60-day delay of the DOL’s fiduciary duty rule implementation is simply not enough (IA Watch, April 5, 2017). The ...
A number of industry heavy hitters are in lockstep agreement on the SEC’s proposed new rule that would require investment advisers to adopt and implement ...
Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address ...
The timing couldn’t be better for the Investment Company Institute’s new 24-page Report on Funds’ Use of Proxy Advisory Firms, given that OCIE just listed ...
Because of a deadline extension, it was late summer before the Investment Company Institute filed its latest Form 990. The IRS document covers Oct. 2011 ...
This is news worthy of a tweet. The SEC says "certain interactive content" posted to social media sites by mutual fund advisers need not be ...
A U.S. District Court judge last week sided with the CFTC in allowing its final rule to go forward that will force many advisers to ...
With the clock ticking toward a Sept. 13th date for advisers to mutual funds to comply with the second part of the SEC's play-to-play rule, ...
Let the lobbying begin. With President-elect Barack Obama promising "a substantial overhaul" of the financial services industry, various players are jockeying for a spot on ...
No-Action Letter Under Investment Company Act of 1940 — Section 17(d) and Rule 17d-1 Investment Company Institute December 14, 2005 Elizabeth Krentzman, General CounselInvestment Company ...
Investment Company Act of 1940 – Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End Investment Company’s Principal Underwriters November 10, 2004 ...
No-Action Letter under: Investment Company Act of 1940 – Rule 0-1(a)(6); 2a-19 Investment Company Institute February 12, 2002 Craig S. Tyle, Esq.General CounselInvestment Company Institute1401 ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination