[31773] May 23, 2019 TO: Equity Markets Advisory Committee RE: SEC Establishes Commencement and Termination Dates of the Pre-Pilot Period for the Transaction Fee Pilot Program The Securities and Exchange Commission (SEC or Commission) recently took steps to initiate a pilot program to...
[31770] May 21, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: (Australia) Proposed Revisions to APRA's Prudential Standard SPS 515 On 30 April 2019, the Australian Prudential Regulation...
[31768] May 20, 2019 TO: Accounting Policy Subcommittee RE: Accounting Policy Subcommittee Meeting - June 26 The next meeting of the Accounting Policy Subcommittee will take place on Wednesday, June 26. Lunch will be available beginning at 12:30 p.m. The meeting will begin at 1:00 p.m...
[31769] May 20, 2019 TO: Accounting/Treasurers Committee RE: SEC Proposes Rule and Form Amendments Revising Financial Disclosures for Fund Mergers; Conference Call Scheduled for May 30 The SEC has proposed rule and form amendments designed to tailor the financial reporting...
[31766] May 17, 2019 TO: ICI Global Regulated Funds Committee RE: Meeting Materials for ICI Global Regulated Funds Committee Meeting in Hong Kong on 21 May Please see the following link to the electronic materials (including the agenda) for the inaugural Hong Kong meeting of the ICI...
[31763] May 16, 2019 TO: ICI Members SUBJECTS: Fund Accounting & Financial Reporting RE: SEC Proposes Rule and Form Amendments Revising Financial Disclosures for Fund Mergers The SEC has proposed rule and form amendments designed to tailor the financial reporting requirements for...
[31765] May 16, 2019 TO: ICI Members ICI Global Members AML Compliance Working Group Chief Compliance Officer Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Anti-Money Laundering Compliance International/Global Litigation...
[31762] May 16, 2019 TO: Derivatives Markets Advisory Committee RE: ICI Member Call on May 30 to Discuss CFTC Proposed Amendments to Swap Data Reporting Requirements and DCO Rules As previously reported, the Commodity Futures Trading Commission (CFTC or “Commission”) recently proposed...
[31761] May 16, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: Monetary Authority of Singapore (MAS) Issues Further Consultation on the Variable Capital Companies (VCC) Regime On April 30, 2019...
[31764] May 16, 2019 TO: Tax Committee RE: For Your Review: ICI-SIFMA Letter on UMBS TBA Contracts and Section 817(h) Attached for your review is a draft letter from the ICI and SIFMA regarding the treatment of To-Be-Announced (TBA) contracts for Uniform Mortgage Backed Securities...
[31760] May 15, 2019 TO: Accounting/Treasurers Committee RE: ICI Letter to PCAOB Recommending Changes to Audit Opinion The Institute recently filed the attached letter with the Public Company Accounting Oversight Board recommending a change to fund audit opinions. Recently effective...
[31759] May 14, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Systemic Risk RE: ICI Files Comment Letter on FSOC Proposal to Reform Nonbank SIFI Designation Process As we reported previously, the Financial Stability Oversight Council (FSOC) issued a proposal in March to...
[31758] May 14, 2019 TO: Advertising Compliance Advisory Committee RE: REMINDER: Advertising Compliance Advisory Committee Call on June 5: Request for Discussion Items The Advertising Compliance Advisory Committee will have its next quarterly conference call on Wednesday, June 5, from...
[31757] May 13, 2019 TO: Chief Risk Officer Committee RE: Rhonda K.R. Cook of SEI Appointed New Chair of ICI's Chief Risk Officer Committee I am pleased to announce that Rhonda K.R. Cook, the Chief Risk Officer of SEI Investment Managements Corporation, has agreed to serve as the new...
[31756] May 13, 2019 TO: ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Summary of ESMA's Final Report to the EU Commission on Proposed ESG-Related Amendments to the UCITS...
[31755] May 10, 2019 TO: Derivatives Markets Advisory Committee Equity Markets Advisory Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee RE: European Parliament and Council Adopt Overhaul of CCP Supervision with Amendments to EMIR The European...
[31754] May 9, 2019 TO: Chief Risk Officer Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Operations Committee Securities Operations Advisory Committee RE: Follow-up on TMPG Proposed Best Practices As discussed on our member call, the Treasury Market...
[31753] May 9, 2019 TO: Derivatives Markets Advisory Committee RE: CFTC Proposes Amendments to Swap Data Reporting Requirements and DCO Rules The Commodity Futures Trading Commission (CFTC or “Commission”) recently proposed amendments to improve the accuracy of swap data reported to...
[31751] May 9, 2019 TO: Tax Advisory Committee RE: Agenda for Tax Advisory Committee Meeting May 22 As we previously informed you, the Tax Advisory Committee will meet on Wednesday, May 22 in the Institute’s offices at 1401 H Street, NW, Washington, DC 20005. The meeting will begin at...
[31752] May 8, 2019 TO: Investment Company Directors SUBJECTS: Directors Chapter RE: IDC's Inaugural Directors Chapter Meeting in Columbus, OH, on Wednesday, June 19, 2019 IDC is pleased to announce its first Directors Chapter Meeting in Columbus, OH. Please join us: When: Wednesday...
[31750] May 8, 2019 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda for May Tax Committee Call -- Thursday, May 23 at 11:00 AM ET The next Tax Committee monthly conference call will be held on Wednesday, May 23, 2019 at 11:00 a.m. (Eastern)...
[31749] May 7, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: IRS Updates Employee Plans Correction Program (EPCRS) to Expand Availability of Self-Correction Methods The Internal Revenue Service (IRS) recently published Revenue...
[31748] May 7, 2019 TO: Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee Fixed-Income Advisory Committee RE: ICI Member Call on May 21 at 1:00 PM (Eastern) to Discuss FINRA's Proposal to Study Changes to Corporate Bond Dissemination Rules As previously reported...
[31747] May 6, 2019 TO: ICI Members Tax Committee SUBJECTS: Tax RE: ICI Comment Letter: FL Sales Tax on Services The Institute filed the attached comment letter to Florida’s proposed sales tax on services (HB 1377). The bill would impose a 6% sales tax on each sale of service...
