Chapter 6 of Regulation of Investment Companies was revised to include a brief explanation of the 2004 amendment to Rule 1(a)(7) of the Investment Company Act, implementing additional corporate governance requirements.  Chapter 13 was updated to reflect 31 C.F.R. §103.176(f)(3) which requires  covered financial institutions to apply enhanced due diligence rule when establishing or maintaining a correspondent account for “covered foreign banks.”  Finally, Chapter 18 was revised to clarify the description of Rule 34b-1(b)(3), the exemption for shareholder reports.

Regulation of Investment Companies

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