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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

Comment letter to SEC re. liquidity risk assessment of open-ended funds (January 2016) ( PDF format )
Subject area: SEC Comment Letter

Letter to the SEC commenting on proposed amendments to remove references to credit ratings of nationally recognized statistical rating organizations (October 2014) ( PDF ) 
Subject area: Credit Ratings

Letter to the SEC regarding Money Market Fund Reform, Amendments to Form PF, SEC Release No. 33-9408 (September 2013) 
( PDF ) 
Subject area: Money Market Mutual Funds

For the full list of committee reports click here