[31847] July 11, 2019 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda for July Tax Committee Call -- Tuesday, July 16 at 11:00 AM ET The next Tax Committee monthly conference call will be held on Tuesday, July 16, 2019 at 11:00 a.m. (Eastern)...
[31848] July 11, 2019 TO: Accounting/Treasurers Committee RE: ICI Draft Comment Letter on SEC's Proposed Amendments Revising Financial Disclosures for Fund Mergers; Comments Requested by Wednesday, July 24 In May the SEC proposed rule and form amendments designed to tailor the...
[31849] July 11, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global RE: Monetary Authority of Singapore (MAS) Issues Second Consultation Paper on the Guidelines on Individual Accountability and Conduct - Proposed...
[31844] July 10, 2019 TO: Bank-Affiliated Member Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee SEC Rules Committee RE: Your Feedback Requested on ICI Draft Comment Letter on Federal Reserve Board "Control" Proposal As we indicated previously, the...
[31845] July 10, 2019 TO: ICI Global Pacific Chapter ICI Global Regulated Funds Committee RE: ASIC Consultation on Foreign Financial Services Providers Licensing Regime; Member Call on Monday, July 15 at 11 a.m. EST On July 3, the Australian Securities and Investments Commission (ASIC...
[31846] July 10, 2019 TO: Investment Company Directors SUBJECTS: Directors Chapter RE: IDC Directors Chapter Meeting in New York on Thursday, September 12, 2019 You are invited to attend the next IDC Directors Chapter meeting in New York: When: Thursday, September 1210:00 a.m. – 2:00...
[31840] July 9, 2019 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: In-Person Meeting for AML Compliance Working Group: Tuesday, September 17, 2019 The Investment Company Institute will host an in-person meeting of the AML Compliance Working Group on Tuesday...
[31842] July 9, 2019 TO: Global ESG Task Force ICI Global Regulated Funds Committee RE: ESG Task Force Call on Thursday 11 July We will have our next call on Thursday 11 July from 11-12 p.m. EST (4-5 p.m. GMT) to provide a read-out of recent meetings with EU policymakers and to...
[31841] July 9, 2019 TO: ICI Members Tax Committee SUBJECTS: Tax RE: ICI Proposes Guidance Permitting Pass-Through of Interest under Section 163(j) ICI recently submitted to the Internal Revenue Service (IRS) draft proposed regulations (attached) that would permit regulated investment...
[31843] July 9, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: Treasury and IRS Propose Regulations Modifying Unified Plan Rule for MEPs Treasury and IRS have released a notice of proposed rulemaking [1] that would amend regulations...
[31838] July 8, 2019 TO: Equity Markets Advisory Committee Fixed-Income Advisory Committee RE: SEC Fixed Income Market Structure Advisory Committee Meeting Scheduled for Monday, July 29, 2019 The Securities and Exchange Commission Fixed Income Market Structure Advisory Committee...
[31839] July 8, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Publishes Its Final 2020 GIPS Standards The CFA Institute [1] has issued its 2020 Global...
[31836] July 5, 2019 TO: ICI Members ICI Global Members ICI Global Tax Committee Tax Committee SUBJECTS: International/Global Tax RE: HMRC Responds to ICI Global Submission on UK Non-resident Capital Gains Tax On July 4, 2019, Wayne Strangwood, HMRC Policy & Technical Lead -...
[31837] July 5, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Issues Concept Release on Securities Offering Exemptions; Call Scheduled for July 18 at 2 pm (ET) The Securities and Exchange Commission recently issued a concept release seeking comment on...
[31835] July 3, 2019 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: SEC Adopts Final Rules on Capital, Margin, and Segregation for...
[31834] July 3, 2019 TO: ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESMA Survey on "Short-Termism" and Sustainable Finance The European...
[31832] July 2, 2019 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: July 18 Conference Call to Discuss India's 2019 Union Budget ICI and ICI Global will be holding a members-only conference call on Thursday July 18, at 11:00 a.m. (Washington DC time...
[31833] July 2, 2019 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: EU Publishes Amendments to...
[31831] July 1, 2019 TO: Chief Compliance Officer Committee SEC Rules Committee Small Funds Committee RE: District Court Grants SEC Access to Documents an Adviser Claimed Were Subject to the Attorney-Client Privilege In a recent case in the U.S. District Court for the Southern...
[31830] June 28, 2019 TO: ICI Members ICI Global Members SUBJECTS: International/GlobalTax RE: ICI Global Submission on UK Non-resident Capital Gains Tax ICI Global submitted that attached letter to the United Kingdom’s Revenue and Customs requesting confirmation that US regulated...
[31829] June 28, 2019 TO: ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee International Operations Advisory Committee RE: Final EU Legislation on the Cross-Border Distribution of Investment Funds On 14 June 2019, [1] Finance Ministers in the Council...
[31828] June 27, 2019 TO: Operations Committee Transfer Agent Advisory Committee RE: SEC Staff Clarifies the Pricing of Securities in Connection with Investment Companies' Use of Check Hold Periods In 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) raised an...
[31826] June 26, 2019 TO: Bank-Affiliated Member Advisory Committee Chief Compliance Officer Committee SEC Rules Committee RE: Federal Reserve Proposal on "Control" Under Federal Banking Laws; Your Feedback Requested on Aspects Relevant to Regulated Funds The Federal Reserve Board has...
[31824] June 25, 2019 TO: Tax Committee RE: Draft Letter to UK on Non-Resident Capital Gains Tax As discussed during last Friday’s Tax Committee meeting, we will be sending this week to the UK’s Revenue and Customs a letter requesting confirmation that US funds are not subject to...
