Compliance Content

ICI submitted a response to the Securities and Exchange Board of India’s (SEBI) consultation paper on the introduction of a “Single Window Automatic and Generalised Access for Trusted Foreign Investors” (SWAGAT-FI) framework. Read more in the comment letter.

The Investment Company Institute along with along with the Securities Industry and Financial Markets Association, SIFMA Asset Management Group, American Bankers Association, Bank Policy Institute, Institute of International Bankers, Investment Adviser Association, Insured Retirement...

The Investment Company Institute along with along with the Securities Industry and Financial Markets Association, SIFMA Asset Management Group, American Bankers Association, Bank Policy Institute, Institute of International Bankers, Investment Adviser Association, Insured Retirement...

The Investment Company Institute submitted a letter FinCEN to request a delay to the compliance date for the AML/CFT program and suspicious activity Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Reporting Filing Requirements for Registered...

The Investment Company Institute (ICI) submitted the attached letter to Acting SEC Chairman Mark T. Uyeda requesting that the Commission further amend the Form N-PORT amendments adopted in August 2024 to: (i) eliminate the publication of each monthly Form N-PORT (including a fund's...

The Investment Company Institute submitted a letter to Acting Chairman Mark Uyeda to request an extension of the various compliance dates under the Treasury Clearing Rule, including by a minimum of 24 months (i.e., an extension to at least June 30, 2028) for the Treasury Repo Clearing...

The Investment Company Institute submitted a Comment Letter to Chair Gary Gensler to request an extension to the compliance dates for Fund Names Rule Amendment by a minimum of 18 months and base the compliance date on a fund’s fiscal year-end. Read more in the comment letter.

The Investment Company Institute and the Asset Management Group of the Securities Industry and Financial Markets Association submitted a letter to SEC Chair Gensler regarding concerns about applying Rule15c2-11 under the Exchange Act to fixed income securities. Market participants...

The e Investment Company Institute submitted a letter to the Financial Crimes Enforcement Network proposed amendments that would enhance anti-money laundering/countering the financing of terrorism program requirements for financial institutions already subject to AML/CFT requirements...