Investment Management Regulation Committee

The Investment Management Regulation Committee focuses on regulatory and litigation issues faced by investment advisers and pooled investment vehicles, particularly mutual funds and other types of registered investment companies.  Recent topics addressed by the Committee include mutual fund governance (including the oversight role of fund directors), the distribution of mutual fund shares, regulatory initiatives applicable to money market funds and the regulation of political contributions by investment managers and their employees.

Recent Reports

Letter to the Commodity Futures Trading Commission offering comments on the proposing release Harmonization of Compliance Obligations for Registered Investment Companies Required to Register as Commodity Pool Operators (May 2012) ( PDF )
Subject area: Commodity Pool Operators

Letter to the SEC on File No. S7-35-11 Treatment of Asset Backed Issuers under the Investment Company Act (November 2011) ( PDF )
Subject area: Investment Securities

Investment Management Regulation Title...Letter to the SEC regarding Release IC-29592 which would remove references to credit ratings in Rules 2a-7 and 5b-3 under the Investment Company Act of 1940 (April 2011) ( PDF )
Subject area: Credit Ratings

For the full list of committee reports click here