SAAMCo Compliance Alerts
To obtain a copy of a policy or procedure listed below, please email MutualFundComplianceProcedures@CorebridgeFinancial.com with the compliance alert number(s) and name(s).
| Bulletin Number | Release Date | Subject |
| 2023.04 | 2/21/2023 | Information Regarding Security Valuations |
| 2023.02 | 2/2/2023 | SAAMCo LIBOR Transition |
| 2022.08 | 12/27/2022 | Compliance Manual - (SAAMCo) |
| 2022.07 | 8/31/2022 | Rule 17a-7 |
| 2022.06 | 8/12/2022 | SEC Rule 18f-4 |
| 2022.05 | 7/15/2022 | Third Party Code of Conduct Policy |
| 2022.04 | 3/25/2022 | Annual 38a-1 Request |
| 2022.02 | 2/2/2022 | Rule 12d1-4 |
| 2022.01 | 1/12/2022 | Proxy Voting Program Design |
| 2021.05 | 11/4/2021 | Notice Regarding Digital Asset Related Investments |
| 2021.03 | 7/28/2021 | Rule 18f-4 - Use of Derivatives by Registered Investment Companies |
| 2021.02 | 3/26/2021 | Annual 38a-1 Request |
| 2021.01 | 3/25/2021 | Recognition of PIPEs (Private Investments in a Public Entity) offered through special purpose acquisition companies (SPACs) |
| 2020.1 | 12/29/2020 | UPDATE on Executive Order 13959 Targeting Communist Chinese Military Companies ("CCMCs") |
| 2020.09 | 11/13/2020 | Executive Order Targeting Securities of Various Chinese Companies |
| 2020.08 | 10/15/2020 | Communication to Subadvisers Regarding LIBOR Transition |
| 2020.07 | 9/11/2020 | Notice to Managers and Sub-Advisers of SunAmerica or VALIC Separately Managed Account (or a sleeve of a Fund) Regarding Documentation with FCMs |
| 2020.06 | 5/21/2020 | Third Party Code of Conduct Policy |
| 2020.05 | 4/30/2020 | Reminder to Subadvisers on Multi-Managed Funds |
| 2020.04 | 3/30/2020 | Annual 38a-1 Request |
| 2020.03 | 3/27/2020 | Trading Agreement Termination Event and Representations/Covenant Triggers and Other Fall-Out from Recent Market Volatility |
| 2020.02 | 3/9/2020 | COVID -19 ("Corona Virus") |
| 2020.01 | 1/6/2020 | Proxy Process Review for 2019 SEC Guidance |
| 2019.05 | 12/31/2019 | Policies and Procedures with Respect to the Internal Reporting of Federal Securities Laws Violations (the ?Internal Reporting Policies?) |
| 2019.03 | 4/23/2019 | Japanese Exchange Extended Holiday |
| 2019.01 | 3/29/2019 | Annual 38a-1 Request |
| 2018.06 | 10/26/2018 | Form N-CEN Request |
| 2018.05 | 8/1/2018 | SEC Rule 22e-4/Liquidity Risk Management Program |
| 2018.04 | 6/15/2018 | Instinet Data Breach |
| 2018.03 | 5/18/2018 | Sale of Validus Holdings |
| 2018.02 | 4/2/2018 | Annual 38a-1 Request |
| 2017.1 | 12/6/2017 | Sactions Related to Russia and Ukraine |
| 2017.11 | 12/6/2017 | Request for Information - Sanctions Related to Russia and Ukraine |
| 2017.05 | 6/19/2017 | Cybersecurity |
| 2017.03 | 4/1/2017 | Annual 38a-1 Request |
| 2017.01 | 2/27/2017 | Information Regarding Security Valuations |
| 2016.09 | 10/17/2016 | Industry Concentration Monitoring |
| 2016.08 | 10/10/2016 | Monthly Certification Sub-Adviser Reminder |
| 2016.04 | 4/1/2016 | Annual 38a-1 Request |
| 2016.03 | 3/18/2016 | Potential Bond Offering by the Russian Federation and its Relation to U.S. Sanctions |
| 2015.2 | 7/24/2015 | Guidance on Investing in Partnerships |
| 2014.6 | 7/28/2014 | Sanctions Related to Russia and Ukraine |
| 2014.5 | 5/7/2014 | Information Regarding Security Valuations |
| 2014.4 | 4/23/2014 | Annual 38a-1 Request |
| 2014.02 | 2/6/2014 | Reserve Bank of India Adopted Regulations |
| 2012.9 | 11/8/2012 | Request for Information Relating to Impending Implementation of Dodd-Frank Swap Agreement Regulations |
| 2012.5 | 3/13/2012 | New Proxy Voting Guidelines |
| 2011.11 | 4/6/2011 | Reminder to Sub-Advisers of a Multi-Managed Fund |
| 2011.9 | 3/25/2011 | Information Regarding Security Valuations |
| 2011.6 | 3/15/2011 | Proxy Voting Guidelines - Retail |
| 2011.5 | 3/15/2011 | Proxy Voting Guidelines - VALIC and Annuity |
| 2011.4 | 2/8/2011 | Annual 38a-1 |
| 2011.1 | 1/11/2011 | Expert Networks |
| 2010.22 | 11/4/2010 | Derivatives Investment |
| 2010.21 | 10/27/2010 | Revised Joint Account Procedures |
| 2010.18 | 10/18/2010 | Revised Repurchase Agreement Policy |
| 2010.7 | 4/5/2010 | Proxy Voting Guidelines |
| 2010.6 | 2/4/2010 | Annual Rule 38a-1 Request for Information |
| 2010.3 | 1/14/2010 | Reminder-Policies and Procedures for the Protection of Non-Public Portfolio Holdings Information- Annuity Funds |
| 2010.2 | 1/14/2010 | Reminder-Policies and Procedures for the Protection of Non-Public Portfolio Holdings Information - Retail Funds |
| 2009.28 | 12/15/2009 | Monthly Certification Format |
| 2009.27 | 11/16/2009 | Revised Rule 5b-3 |
| 2009.26 | 11/12/2009 | Revised 10f-3 Procedure |
| 2009.25 | 10/28/2009 | Compliance Alert Reminder: Fund Holdings in Fixed Income Securities that are subject to Forbearance Agreements |
| 2009.23 | 7/16/2009 | Information Regarding Security Valuations |
| 2009.21 | 6/5/2009 | Reminder: The Reporting of Material Code of Ethics Changes |
| 2009.19 | 5/8/2009 | Revised Section 19 Procedures |
| 2009.16 | 4/8/2009 | Reminder-Repurchase Agreement Policy |
| 2008.8 | 3/28/2009 | Rule 2a-7 Procedures; Revisions to |
| 2009.11 | 3/13/2009 | Compliance Procedures Manual- Notification of New Format |
| 2009.8 | 3/6/2009 | Illiquid Securities Monitoring |
| 2009.7 | 3/3/2009 | Updated Proxy Voting Guidelines |
| 2009.6 | 1/28/2009 | Annual 38a-1 Request for Information |
| 2008.31 | 12/12/2008 | Information Request regarding Staffing Changes |
| 2008.29 | 11/26/2008 | Compliance Alert- Compliance Procedures Manual |
| 2008.28 | 10/31/2008 | Shadow Pricing Daily Certification |
| 2008.27 | 10/22/2008 | Compliance Alert:Disclosure of Short Sales and Short Positions by Institutional Investment Managers |
| 2008.26 | 9/29/2008 | Updated Compliance Alert:Reminder Form SH filing requirement |
| 2008.25 | 9/29/2008 | Information Request for Washington Mutual Securities Holdings |
| 2008.24 | 9/16/2008 | Information Request for Lehman Brothers Securities Holdings and Arrangements for such Holdings |
| 2008.23 | 9/15/2008 | Information Request for Securities Holdings - Lehman Brothers |
| 2008.7 | 3/17/2008 | Funds' Exposure to Broker Dealers with Credit Concerns |
| 2008.5 | 2/1/2008 | Annual 38a-1 Request for Information |
| 2007.17 | 9/6/2007 | Change to Retail Focused Funds |
| 2007.16 | 8/23/2007 | Information Regarding Security Valuations |
| 2007.15 | 8/17/2007 | Funds' Exposure in Subprime Securities |
| 2007.14 | 8/9/2007 | Information Request for Securities Holdings |
| 2007.13 | 7/17/2007 | Compliance Manual - Notification of New/Revised Procedures |
| 2007.11 | 6/15/2007 | The Blackstone Group L.P. |
| 2007.6 | 2/8/2007 | Information Request for Annual 38a-1 Report |
| 2007.4 | 1/26/2007 | FAS 140 Fund Holdings Inquiry - 2001 to Present |
| 2006.25 | 11/29/2006 | Fund Holdings in Fixed Income Securities that are subject to Forbearance Agreements |
| 2006.24 | 11/27/2006 | Segregation Policy |
| 2006.23 | 11/1/2006 | 38a-1 Certifications and Reporting |
| 2006.21 | 10/20/2006 | Reporting on Brokerage Information, including Allocation of Trades under Rule 31a-1(b)(9) under the Investment Company Act of 1940, as amended |
| 2006.19 | 9/25/2006 | Compliance Alert 2006.19 - Disclosure of Non-Public Portfolio Holdings |
| 2006.17 | 9/22/2006 | Guidelines for Security Holdings of Focused Portfolios |
| 2006.18 | 9/22/2006 | Amended Definitions of Market Capitalization Ranges |
| 2006.16 | 9/14/2006 | Information Regarding Security Valuations |
| 2006.15 | 8/11/2006 | Investment Discrepancy Reporting |
| 2006.11 | 5/12/2006 | Template for Reporting Rule 31a-1(b)(9) |
| 2006.7 | 4/13/2006 | Restricted List |
| 2006.6 | 3/28/2006 | New Policies; Window Dressing, Portfolio Pumping, Rule 35d-1 |
| 2006.5 | 2/3/2006 | Transfer and Custody of Initial Margin in Connection with Futures Transactions - ACTION REQUIRED |
| 2006.1 | 1/6/2006 | Rule 31a-1(b) (9) Reporting |
| 2005.16 | 10/28/2005 | Information Request for First Annual Rule 38a-1 Chief Compliance Officer Report |
| 2005.15 | 9/9/2005 | Class Action Filings |
| 2005.13 | 7/28/2005 | SunAmerica Focused Alpha Growth Fund, Inc. - Prospectus and SAI |
| 2005.11 | 7/13/2005 | Procedures for Investing in a New Instrument |
| 2005.9 | 5/9/2005 | Bankruptcy Proceedings |
| 2005.8 | 4/9/2005 | Directed Brokerage and Prospectus Compliance: General Reminders |
| 2005.7 | 3/16/2005 | Distribution of SunAmerica Focused Series, Inc. 02/28/05 Prospectus and SAI |
| 2005.6 | 2/9/2005 | Guidelines for Stock Holdings for the Focused Portfolios |
| 2005.5 | 2/8/2005 | Portfolio Manager Certification of Shareholder Report Information |
| 2005.4 | 2/4/2005 | Procedures for Transactions Pursuant to Section 12(d) and Section 17(a) Under the Investment Company Act of 1940 |
| 2005.3 | 1/11/2005 | Policies and Procedures for the Selection of Broker-Dealers to Execute Portfolio Transactions |
| 2005.2 | 1/11/2005 | Segregation Policy |
| 2005.1 | 1/5/2005 | Procedure for Fund Oversight of Service Provider Compliance |
| 2004.11 | 11/16/2004 | Investments in Securities of Other Investment Companies |
| 2004.1 | 10/18/2004 | Procedures Governing the Purchase and Sale of Futures and Options on Futures |
| 2004.08 | 10/13/2004 | Procedures for Determining the Liquidity of Securities (Formerly: Rule 144A and Section 4(2) Securities, Determining Liquidity) |
| 2004.09 | 10/13/2004 | Procedures for Net Asset Value per Share Price Stabilization for Money Market Funds |
| 2004.06 | 5/3/2004 | Self-Compliance Rule Compliance Alert |
| 2004.04 | 4/22/2004 | Fund Borrowing Procedures |
| 2004.05 | 4/22/2004 | Revised Rule 17e-1 Procedures |
| 2004.03 | 4/14/2004 | Notification to the SAAMCo and VALIC Legal Departments of Changes to Portfolio Management |
| 2004.02 | 4/7/2004 | Addition of American International Group ("AIG") to the Dow Jones Industrial Average |
| 2004.01 | 1/15/2004 | Foreign Custody Accounts |
| 2003.05 | 6/18/2003 | Changes to Proxy Voting Procedures |
| 2003.03 | 3/7/2003 | Reports to SunAmerica Boards of Directors/Trustees |
| 2003.02 | 2/12/2003 | Rule 17a-7 - Purchase or Sale Transactions between Mutual Funds and between Mutual Funds and Affiliated Client Accounts; Review of Procedures |
| 2002.01 | 7/2/2002 | Compliance with Rule 35(d): Investment Company 80% of Net Assets Concentration Compliance |