[31988] September 30, 2019 TO: ICI Global Members SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Update on ESMA Work to Develop Regulatory Technical Standards for EU Disclosure Regulation The EU co-legislators...
[31981] September 27, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: FINRA Issues Guidance on Disclosure Innovation FINRA has issued a Regulatory Notice with guidance on disclosure innovations in advertising. [1] FINRA has...
[31980] September 27, 2019 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Tax Committee Tax Committee RE: Securities and Exchange Board of India Adopts New Regulations for Foreign Portfolio Investors; Call on Thursday, October 3 at 11 a.m. EST On...
[31977] September 24, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: US Department of Justice Files Statement of Interest in Litigation Challenging California Auto-IRA Program The US Department of Justice (DOJ) has filed the attached...
[31978] September 24, 2019 TO: SEC Rules Committee RE: Reminder - October 24th In-Person SEC Rules Committee Meeting and October 23rd Dinner - Draft Agenda Attached The next meeting of the SEC Rules Committee will take place on Thursday, October 24th. This is an in-person meeting to...
[31979] September 24, 2019 TO: ICI Members Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance Distribution RE: ICI Submits Comment Letter on SEC's Concept Release on Securities Offering Exemptions As you know, in...
[31976] September 20, 2019 TO: ICI Members ICI Global Members Accounting/Treasurers Committee ICI Global Tax Committee Tax Committee SUBJECTS: Fund Accounting & Financial Reporting International/Global Tax RE: India Tax Ordinance: Enhanced Surcharge Does Not Apply to Capital Gains...
[31975] September 20, 2019 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Municipal Securities Advisory Committee SUBJECTS: Derivatives Disclosure Fixed Income Securities Fund Accounting &...
[31974] September 19, 2019 TO: ICI Members Equity Markets Advisory Committee SUBJECTS: Trading and Markets RE: ICI Joins Petition for Transparency of Funding of Consolidated Equity Market Data ICI, jointly with three other trade associations and a broad range of capital markets...
[31971] September 17, 2019 TO: Registered Fund CPO Advisory Committee RE: Committee Call to Discuss ICI Meetings with CFTC Leadership, Regulatory Priorities The Commodity Futures Trading Commission is under new leadership. Chairman Heath P. Tarbert began his term on July 15 and has...
[31963] September 16, 2019 TO: ICI Global Members Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Distribution International/Global Investment Advisers Trading and Markets RE: Update on ICI Global's Recent Meetings...
[31967] September 16, 2019 TO: ICI Global Members SUBJECTS: International/Global RE: ASIC Extends Relief for Foreign Financial Services Providers Until March 31, 2020 On September 9, the Australian Securities and Investments Commission (ASIC) issued a notice that it has extended to...
[31968] September 16, 2019 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee SEC Rules Committee RE: SEC Staff Encourages Funds to Improve Their Principal Risk Disclosures for Investors On September 9, 2019, the Disclosure Review and...
[31962] September 16, 2019 TO: ICI Members SUBJECTS: Fund Accounting & Financial Reporting RE: FASB Proposes Relief for LIBOR Transition The Financial Accounting Standards Board recently released for public comment a proposed Accounting Standards Update that would provide temporary...
[31965] September 16, 2019 TO: Operations Committee RE: Mark Your Calendar - 2020 Operations Committee Meeting Schedule The Operations Committee meeting schedule for 2020 has been finalized. Please mark your calendar for the following meeting dates: April 8 & 9, 2020October 21 & 22...
[31964] September 16, 2019 TO: Chief Information Security Officer Advisory Committee ICI Global Information Security Officer Committee - London Technology Committee RE: Information Security Officer Committee - London Meeting - Save the Date & Agenda Highlights - London, November 5...
[31966] September 16, 2019 TO: ICI Global Members Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Distribution International/Global Investment Advisers RE: China Wealth Management 50 Forum in Beijing on 21st...
[31961] September 12, 2019 TO: Small Funds Committee RE: Registration Now Open: Small Funds Session 2: Tech Tools for Sales and Marketing Webinar 1:00 - 2:00 p.m. ET, October 15, 2019 The next meeting of the Investment Company Institute’s Small Funds Committee will be held on Tuesday...
[31958] September 11, 2019 TO: ICI Members Fixed-Income Advisory Committee SEC Rules Committee SUBJECTS: Fixed Income Securities Trading and Markets RE: Treasury and HUD Submit Housing Finance Reform Plans to President On September 5th, the US Department of Treasury and the US...
[31959] September 11, 2019 TO: SEC Rules Committee RE: Save the Date: October 24th In-Person SEC Rules Committee Meeting and October 23rd Dinner The next meeting of the SEC Rules Committee will take place on Thursday, October 24th. This is an in-person meeting to be held at the...
[31960] September 11, 2019 TO: Derivatives Markets Advisory Committee RE: Save the Date - Derivatives Markets Advisory Committee Meeting - Wednesday, November 13th The fall in-person meeting of ICI’s Derivatives Markets Advisory Committee has been scheduled for Wednesday, November...
[31954] September 10, 2019 TO: Chief Information Security Officer Advisory Committee Technology Committee RE: Technology Committee Meeting - Save the Date & Hotel Reservations - October 28 & 29, 2019 The next meeting of ICI’s Technology Committee will take place on Monday, October 28...
[31955] September 10, 2019 TO: Disclosure Working Group RE: Reminder: Next Disclosure Working Group Call: October 17 at 2:00 pm ET We will have our next call on Thursday, October 17 at 2:00 pm ET. The call information is as follows: Dial In: (253) 617-4981 Meeting ID: 62786404 To...
[31952] September 10, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers RE: SEC Staff Announces Changes to Its Rule 14a-8 No-Action Request Process On September 6, the SEC’s Division of Corporation Finance announced changes to...
