[31825] June 25, 2019 TO: ICI Global Members SUBJECTS: International/GlobalTrading and Markets RE: French AMF Issues Paper on Shaping EU27 Capital Markets to Meet Tomorrow's Challenges The French securities regulator, the Autorité des Marchés Financiers (AMF), recently released a ten...
[31822] June 24, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Closed-End Funds Derivatives Exchange-Traded Funds (ETFs) Fixed Income Securities Investment Advisers Systemic Risk Trading and Markets Transfer Agency Variable Insurance Products RE: ICI Summary of Spring...
[31820] June 24, 2019 TO: Diversity and Inclusion Working Group RE: Agenda for the Diversity and Inclusion Working Group Call: Thursday, June 27 at 2:00 PM ET The next Diversity and Inclusion Working Group conference call will be held this Thursday, June 27, 2019. The agenda for this...
[31823] June 24, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting RE: SEC Adopts Amendments to Loan Provision; ICI Member Call Scheduled for July 11 at 2:00 pm (Eastern Time) The Securities...
[31821] June 24, 2019 TO: Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee RE: CPMI and IOSCO Issue a Discussion Paper on CCP Default Management Auctions The Committee on Payments and Market Infrastructures (CPMI) and the International Organization of...
[31819] June 21, 2019 TO: ICI Members ICI Global Members Internal Audit Committee International Internal Audit Advisory Committee SUBJECTS: Audit and Attest RE: SEC Fines KPMG $50 Million for Unlawful Use of PCAOB Data and Cheating on Training Exams The United States Securities and...
[31816] June 21, 2019 TO: Bank, Trust and Retirement Advisory Committee Chief Risk Officer Committee Internal Audit Committee Risk Advisory Committee RE: OCC Publishes Its Semiannual Risk Perspective The National Risk Committee (NRC) of the Office of the Comptroller of the Currency...
[31817] June 21, 2019 TO: Series Trust Advisory Committee RE: Registration Open - Series Trust Advisory Committee Update Meeting, 1:00 p.m. to 2:30 p.m. ET, July 10, 2019 The next meeting of the Investment Company Institute’s Series Trust Advisory Committee will be held on Wednesday...
[31818] June 21, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: Treasury and IRS Propose Regulations Regarding Withholding on Certain Payments from Retirement Accounts (Including Payments Delivered Outside of US) The IRS and Treasury...
[31814] June 19, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee International Operations Advisory Committee SUBJECTS: International/Global RE: Update on ICI Global's Recent Meetings with CSRC and AMAC Regarding China Market Access ICI...
[31815] June 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Internal Audit Committee Investment Advisers Committee Operations Committee Pension...
[31811] June 18, 2019 TO: SEC Rules Committee RE: Reminder - SEC Rules Committee June 26 - Agenda Attached The June SEC Rules Committee meeting will take place next week, on Wednesday, June 26th. We are pleased that our guest speaker will be Brent Fields, Associate Director of...
[31812] June 18, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: Texas Enacts Legislation to Eliminate Authority of Teachers Retirement System to Regulate 403(b) Products The Governor of Texas has signed a bill (HB 2820) that will...
[31813] June 18, 2019 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Digitalisation of the Economy Tax Issues Working Group -- Conference Call on June 27 The first conference call of the working group on the “tax challenges” arising from the...
[31810] June 17, 2019 TO: ICI Members ICI Global Members SUBJECTS: International/Global MiFID, EMIR, AIFMD, UCITS V Trading and Markets RE: ESMA Issues Final Report on Periodic Auctions The European Securities and Markets Authority (ESMA) recently issued a final report on periodic...
[31802] June 17, 2019 TO: Sales and Marketing Committee RE: Registration Now Open: September 26, 2019 Sales and Marketing Committee Meeting The Investment Company Institute’s Sales and Marketing Committee will meet on Thursday, September 26, 2019, at ICI’s offices on the 12th floor of...
[31808] June 14, 2019 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: OECD Work Programme to Develop Consensus Solution on Tax Challenges Arising from Digitilisation of the Economy We are organizing a working group to consider the impact on asset...
[31809] June 14, 2019 TO: ICI Members ICI Global Members ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Tax Committee SUBJECTS: International/Global RE: ICI Global Comment Letter on SEBI Report on Foreign Portfolio Investor Regulations In March 2018...
[31807] June 13, 2019 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: Call on Implementation Issues Associated with the SFC's UT Code Amendments on Derivatives - 21 June at 9 am (Hong Kong Time) As previously...
[31805] June 12, 2019 TO: Transfer Agent Advisory Committee RE: Mark Your Calendar - 2020 TAAC Calendar Please mark your calendar with the following Transfer Agent Advisory Committee meetings scheduled in 2020: February 5-6, 2020 ICI - Washington, D.C. May 5-6, 2020* Marriott Wardman...
[31806] June 12, 2019 TO: Accounting/Treasurers Committee RE: Reminder: June 27 Accounting/Treasurers Committee Meeting - Draft Agenda Attached The next meeting of the Accounting/Treasurers Committee is scheduled for Thursday, June 27. We are pleased to announce that Alison Staloch...
[31799] June 11, 2019 TO: Chief Compliance Officer Committee RE: Save the Dates: September 5 CCO Committee Call; December 4 CCO Committee Meeting Please note that the next call of ICI’s CCO Committee will be held on Thursday, September 5th from 2:00-3:30 p.m. [Eastern]. In mid-August...
[31803] June 11, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter to SEC Recommending Ways to Improve the Fund Proxy System In 2018...
