[31585] January 29, 2019 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Money Market Funds Systemic Risk RE: FSOC 2018 Annual Report to Congress - Recommendations of Interest to the Regulated Fund Industry Late last month, the US Financial Stability...
[31584] January 29, 2019 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Investment Advisers RE: ICI Files Comment Letter With CFTC on Post-Trade Name Give-Up In November, the Commodity Futures Trading Commission (CFTC or “Commission”...
[31581] January 28, 2019 TO: SEC Rules Committee RE: Reminder: SEC Rules Committee Meeting on February 20, 2019 - Draft Agenda Attached The next meeting of the SEC Rules Committee has been scheduled for Wednesday, February 20th, 2019. We are pleased to have as our guest speaker SEC...
[31583] January 28, 2019 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: Save the Date for the ICI/EFAMA Meeting and Dinner on April 30 and GMM on May 1-3 We are pleased to let you know that this year’s annual joint meeting of ICI and the European Fund...
[31580] January 28, 2019 TO: Closed-End Investment Company Committee RE: Save the Date - Closed-End Investment Company Committee Meeting - Tuesday, April 23 The spring in-person meeting of the Closed-End Investment Company Committee has been scheduled for Tuesday, April 23. The...
[31575] January 28, 2019 TO: Accounting/Treasurers Committee Independent Accountants Advisory Group RE: Accounting/Treasurers Committee Meeting - March 14, 2019 A joint meeting of the Accounting/Treasurers Committee and the Independent Accountants Advisory Group has been scheduled for...
[31582] January 28, 2019 TO: Variable Insurance Products Advisory Committee RE: ICI Draft Comment Letter on SEC Proposal Regarding Variable Insurance Products Summary Prospectus - Your Comments Requested by February 5 The SEC recently proposed rule and form amendments to modernize...
[31577] January 25, 2019 TO: ICI Global Members Derivatives Markets Advisory Committee ICI Global Pacific Chapter ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global RE: Hong Kong SFC Briefs Industry and Issues...
[31578] January 25, 2019 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee SUBJECTS: Derivatives International/Global RE: Hong Kong SFC Adopts New Derivatives Rules The Securities...
[31574] January 25, 2019 TO: Accounting Policy Subcommittee RE: Accounting Policy Subcommittee Meeting- March 13, 2019 The next meeting of the Accounting Policy Subcommittee will take place on Wednesday, March 13, 2019. Lunch will be available beginning at 12:30 p.m. The meeting will...
[31576] January 24, 2019 TO: ICI Members Investment Company Directors Operations Committee Processing Fees Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Disclosure Distribution Fees and Expenses Fund Governance Intermediary...
[31573] January 23, 2019 TO: Tax Committee Variable Insurance Products Advisory Committee RE: Draft Letter to IRS on Single Security Initiative and Diversification Under Section 817(h) - Comments Requested by January 31 Attached for your review is a draft letter from the Institute and...
[31572] January 23, 2019 TO: Chief Compliance Officer Committee Compliance Advisory Committee RE: Registration Open - May 1 CCO/Compliance Advisory Committee Meeting in Washington, DC The next in-person meeting of ICI’s Chief Compliance Officer and Compliance Advisory Committees will...
[31570] January 22, 2019 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Closed-End Funds Disclosure RE: SEC Excludes Closed-End Funds from Final Rule Requiring Disclosure of Hedging Practices and Policies In December, the Securities and Exchange Commission adopted a...
[31571] January 22, 2019 TO: Derivatives Markets Advisory Committee RE: ICI Draft Letter on CFTC Proposal Regarding Swap Execution Facilities and the Trade Execution Requirement - Your Comments Requested by January 30 Last November, the Commodity Futures Trading Commission (CFTC or...
[31569] January 18, 2019 TO: ICI Members Tax Committee SUBJECTS: Tax RE: IRS Issues Proposed Regulations Permitting RIC Investors to Benefit from 20 Percent Deduction Provided for Qualified Dividend Income from Real Estate Investment Trusts (REITs) The IRS today issued proposed...
[31568] January 18, 2019 TO: ICI Global Regulated Funds Committee SEC Rules Committee RE: ICI Submits Comment Letter to FTC on Common Ownership Following the FTC's Hearings on Competition and Consumer Protection in the 21st Century ICI recently submitted the attached letter in...
[31567] January 17, 2019 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SEC Rules Committee RE: Draft ICI Comment Letter on IOSCO Leverage Consultation; Member Comments Requested by January 24 As previously...
[31562] January 16, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Technology Committee SUBJECTS: Cybersecurity Litigation & Enforcement RE: SEC Brings Charges Related to 2016 EDGAR Hacking Case As you may recall, in...
[31564] January 16, 2019 TO: ICI Members ICI Global Members Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee SUBJECTS: Trading and Markets RE: ICI Submits Comment Letter on Limit Up-Limit Down Plan Amendment ICI, jointly with the Investors...
[31560] January 16, 2019 TO: Management Company Tax Subcommittee Tax Committee RE: February 26 and 27 Tax Committee Meetings in Washington, DC The ICI Tax Committee will meet on Tuesday, February 26, and Wednesday, February 27, 2018. [1] The meeting on Tuesday will begin at 2:00 p.m...
[31565] January 16, 2019 TO: Derivatives Markets Advisory Committee RE: Draft Comment Letter to CFTC on Post-Trade Name Give-Up - Your Comments Requested by January 23 In November, the Commodity Futures Trading Commission (CFTC or “Commission”) requested public comment on the practice...
[31561] January 16, 2019 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: FSB Discussion Paper on CCP Resolution - Draft Letter for Member Comment by 24 January 2019 As previously advised, [1] on 15 November...
The Investment Company Institute and Independent Directors Council filed an amicus curiae (“friend of the court”) brief in Twin Rivers Paper Company, LLC. et. al. v. United States Securities and Exchange Commission. The case concerns a challenge to recently adopted Investment Company...
