ICI Summary Memoranda
November 3, 2020
Memo #32890
SEC's New Rule on Funds' Use of Derivatives: Summary of Fund Board Responsibilities
[32890] November 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight RE: SEC's New Rule on Funds'...
July 2, 2015
Memo #29139
SEC Charges Auditor with Violating Auditor Independence Rules; Charges Fund Trustee and Fund Administrator for Related Violations
In a settled enforcement action, the Securities and Exchange Commission charged a fund auditor with violating auditor independence rules when its consulting affiliate maintained a business relationship with a trustee serving on the boards and audit committees...
July 2, 2015
Memo #29139
SEC Charges Auditor with Violating Auditor Independence Rules; Charges Fund Trustee and Fund Administrator for Related Violations
TO: ACCOUNTING/TREASURERS MEMBERS No. 14-15 SEC RULES MEMBERS No. 44-15 INVESTMENT COMPANY DIRECTORS No. 19-15 RE: SEC CHARGES AUDITOR WITH VIOLATING AUDITOR INDEPENDENCE RULES; CHARGES FUND TRUSTEE AND FUND ADMINISTRATOR FOR RELATED VIOLATIONS In a settled...
ICI News Releases
News Release
ICI Welcomes Treasury Report on Asset Management Regulation
ICI Welcomes Treasury Report on Asset Management Regulation Stands Ready to Help Advance...
News Release
ICI Statement on Final SEC Liquidity and Data Reporting Rules
ICI Statement on Final SEC Liquidity and Data Reporting Rules Washington, DC, October 13, 2016 —...
News Release
ICI Supports SEC Rule Proposal to Enhance Fund Reporting and Modernize Shareholder Report Delivery
ICI Supports SEC Rule Proposal to Enhance Fund Reporting and Modernize Shareholder Report Delivery...
More ICI Resources
Video
Focus on Funds: SEC Data Reporting Rules Bring New Demands
Focus on Funds SEC Data Reporting Rules Bring New Demands The US Securities and Exchange Commission...
Video
Focus on Funds: How Changes to the SEC's Reporting Rules Will Affect Funds
Focus on Funds How Changes to the SEC’s Reporting Rules Will Affect Funds The October 9, 2015...