[31640] March 5, 2019 TO: ETF (Exchange-Traded Funds) Committee ICI Global Exchange Traded Funds Committee RE: Mark Your Calendar - 3 October ICI Global ETF Committee Meeting in London The first meeting of the ICI Global ETF Committee has been scheduled for Thursday, 3 October 2019...
[31635] March 4, 2019 TO: Transfer Agent Advisory Committee RE: Registration Now Open: April 30 - May 1, 2019 Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, April 30 from 1:00 p.m. to 5:00 p.m. ET and on...
[31636] March 4, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fund Accounting & Financial Reporting Investment Advisers RE: FINRA Staff Permits Pre-Inception Index Performance in Institutional Communications for Open-End Funds In late January, FINRA...
[31633] March 1, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Distribution International/Global Investment Advisers RE: Changes Proposed to QFII and RQFII Legislations On 31 January 2019, the China Securities Regulatory...
[31632] March 1, 2019 TO: Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee RE: ICI Global Joins Letter Urging EU Recognition of UK Trading Venues in Preparation for Brexit ICI Global and other trade associations recently submitted the attached letter to...
[31634] March 1, 2019 TO: ICI Members SUBJECTS: Compliance Cybersecurity Disclosure Fund Accounting & Financial Reporting Investment Advisers Recordkeeping RE: SEC Adopts Rules Modifying the Timing for Filing Non-Public Form N-PORT Data The Securities and Exchange Commission recently...
[31631] February 28, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Fund Governance RE: SEC Staff Issues No-Action Letter to IDC on Board In-Person Voting Requirements We are pleased to inform you that, in response to a request from IDC, the staff of the SEC’s Division of...
[31630] February 26, 2019 TO: Derivatives Markets Advisory Committee RE: Revised ICI Draft Letter on CFTC Proposal Regarding Swap Execution Facilities and the Trade Execution Requirement - Your Comments Requested by March 6 Last November, the Commodity Futures Trading Commission (CFTC...
[31627] February 21, 2019 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance RE: SEC Proposes Expanding Pre-Filing Communications with Certain Prospective Investors; Member Call...
[31620] February 21, 2019 TO: Operations Committee RE: Registration Now Open: April 10 -11, 2019 Operations Committee Meeting The Investment Company Institute’s Operations Committee will meet on Wednesday, April 10, 2019 from 2:00 to 5:00 pm, and on Thursday, April 11, 2019, from 9:00...
[31625] February 21, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: ICI Submits Statement for House Ways and Means Hearing Record The Institute submitted the attached statement to the US House of Representatives, Committee on Ways...
[31626] February 21, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: GAO Report Recommends IRS and DOL Guidance Relating to Unclaimed Retirement Savings Transferred to States The US Government Accountability Office (GAO) published a...
[31622] February 21, 2019 TO: Equity Markets Advisory Committee RE: ICI EMAC Call on March 5 from 4:00 - 5:00 pm and Notice of Upcoming Equity Markets Speech by SEC Chairman Clayton This memorandum provides details for an upcoming call of the Equity Markets Advisory Committee on March...
[31624] February 21, 2019 TO: Advertising Compliance Advisory Committee RE: Reminder: Advertising Compliance Advisory Committee Call on March 6; Request for Discussion Items The Advertising Compliance Advisory Committee will have its next quarterly conference call on Wednesday, March...
[31623] February 21, 2019 TO: ICI Members ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ICI Global Response to ESMA Consultation on ESG Integration under UCITS Directive...
[31621] February 21, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: ICI Files Amicus Brief in 401(k) Fee Case Urging Supreme Court to Rule on Burden Shifting Issue ICI recently filed the attached amicus brief in Putnam Investments...
[31619] February 20, 2019 TO: Management Company Tax Subcommittee Tax Committee RE: Agendas for February 26 and 27 Tax Committee Meetings As we previously informed you, the ICI Tax Committee will meet on Tuesday, February 26, and Wednesday, February 27, 2018. [1] The meeting on...
[31617] February 19, 2019 TO: International Internal Audit Advisory Committee RE: April 2 International Internal Audit Advisory Committee Meeting in London The next in-person meeting of the ICI/ICI Global International Internal Audit Advisory Committee will be held in London on...
[31618] February 19, 2019 TO: Municipal Securities Advisory Committee RE: May 9 Municipal Securities Advisory Committee Meeting The next meeting of the Municipal Securities Advisory Committee has been scheduled for Thursday, May 9, 2019, at the offices of the Investment Company...
[31615] February 15, 2019 TO: ICI Members Investment Company Directors Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Fees and Expenses Investment Advisers Variable Insurance Products RE: ICI Files Comment Letter with SEC on Variable Insurance Products Summary...
[31616] February 15, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Disclosure Fund Governance Variable Insurance Products RE: IDC Files Comment Letter on Proposed Summary Prospectus for Variable Insurance Products IDC filed the attached letter strongly supporting the SEC...
[31613] February 14, 2019 TO: ICI Members Operations Committee Transfer Agent Advisory Committee SUBJECTS: Operations Transfer Agency RE: OCIE Publishes Risk Alert on Transfer Agent Safeguarding of Funds and Securities The SEC’s Office of Compliance Inspections and Examinations (OCIE)...
[31611] February 14, 2019 TO: Security Valuation Operations Committee RE: Security Valuation Operations Committee Meeting - April 16, 2019 The next meeting of the Security Valuation Operations Committee has been scheduled for Tuesday, April 16, 2019 at the offices of the Investment...
[31614] February 14, 2019 TO: Investment Company Directors SUBJECTS: Directors Chapter RE: IDC Directors Chapter Meeting in Chicago on Tuesday, April 9 You are invited to attend the next IDC Directors Chapter Meeting in Chicago: When: Date: Tuesday, April 9Time: 10:00 a.m. – 2:00 p.m...
