[33500] April 26, 2021 TO: Small Funds Committee RE: ICI Small Funds Shop Talk, Wednesday May 26, 2021 2:00 p.m.-3:00 p.m. ET The Investment Company Institute?s next Small Funds Committee ?Shop Talk? will take place on Wednesday May 26, 2021 2:00 p.m.?3:00 p.m. ET Meeting Registration...
[33498] April 26, 2021 TO: ICI Members SUBJECTS: Closed-End Funds RE: NYSE Proposes Amendment to Limit Listed Closed-End Fund Investments in Private Funds The New York Stock Exchange (?NYSE?) recently filed a proposed rule change to establish limits on listed closed-end fund...
[33497] April 24, 2021 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: European Commission...
[33495] April 23, 2021 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: Japan Amends the Financial Instruments and Exchange Act to Attract Foreign Asset Managers Under the leadership of Mr. Yoshihide...
[33493] April 23, 2021 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: Agenda for Upcoming Meeting of the ICI Global Regulated Funds Committee: May 4, 2021 As we previously informed you, the next meeting of the ICI Global Regulated Funds Committee will...
[33492] April 23, 2021 TO: Derivatives Markets Advisory Committee ICI Global Brexit Task Force ICI Global Regulated Funds Committee RE: Joint Trade Association Letter on the Eligibility of EEA UCITS as Collateral under the UK UMR On 15 April 2021, ICI Global co-signed letter sent by...
[33491] April 22, 2021 TO: EU ESG Disclosure Regulation Working Group RE: Update on the ESAs' Hearing on Taxonomy-alignment Product Disclosure RTS - registration re-opened; hearing recording As you know, the 29 April hearing [1] to be hosted by the European Supervisory Authorities...
[33490] April 22, 2021 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SUBJECTS: ESG International/Global RE: Japan Launches Consultation on Revising Corporate Governance Code On 6 April 2021, the Council of...
[33489] April 21, 2021 TO: Closed-End Investment Company Committee RE: Reminder: Spring Closed-End Investment Company Committee Meeting - Tuesday, April 27 at 1 pm (Eastern) The next meeting of the Closed-End Investment Company Committee will take place via Zoom teleconference on...
[33488] April 20, 2021 TO: Registered Fund CPO Advisory Committee RE: NFA to Participate at April 28 Registered Fund CPO Committee Meeting - Register Now On Wednesday, April 28 from 11 am ? 12:30 pm ET, ICI will hold a virtual meeting of the Registered Fund CPO Advisory Committee. We...
[33487] April 19, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure ESG Fund Governance Investment Advisers Operations Portfolio Oversight Transfer Agency RE: SEC Reopens Comment Period for Its 2016 Universal Proxy Proposal In 2016, the SEC proposed...
[33486] April 19, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Staff Announces Termination of March 2020...
[33485] April 19, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...
[33462] April 15, 2021 TO: ICI Members ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: Disclosure ESG International/Global RE: SEC Commissioner Hester Peirce Statement on ESG Metrics On April 14, 2021, SEC Commissioner Hester Peirce issued a statement expressing...
[33459] April 14, 2021 TO: ESG Task Force EU ESG Disclosure Regulation Working Group RE: Materials for the Call on the ESAs' Consultation on Taxonomy Article 8 & 9 product disclosure RTS - 15 April, at 16:00 BST/17:00 CET Ahead of the call on 15 April, at 16:00 BST/17:00 CET , to...
[33456] April 14, 2021 TO: Derivatives Markets Advisory Committee ICI Global Brexit Task Force RE: UK Consultation on an Expanded Resolution Regime for UK CCPs - Member Comments Requested by 23 April 2021 On 24 February 2021, Her Majesty?s Treasury (HMT) published [1] a consultation...
[33454] April 13, 2021 TO: Global Operations Advisory Committee ICI Global Information Security Officer Committee - London ICI Global Investing Subcommittee ICI Global Regulated Funds Committee International Compliance Advisory Committee RE: Luxembourg CSSF Issues Teleworking Circular...
[33452] April 13, 2021 TO: ICI Global Brexit Task Force RE: Next ICI Global Brexit Task Force Meeting - Tuesday 27 April at 11:00 am ET/4:00 pm BST The next meeting of the ICI Global Brexit Task Force will be on Tuesday 27 April at 11:00 am ET/4:00 pm BST via Zoom (details below). The...
[33451] April 13, 2021 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Register for ICI's April 22nd Call to Discuss FinCEN's Advance Notice of Proposed Rulemaking Soliciting Public Comment on the Implementation of the Beneficial Ownership Information Reporting...
[33453] April 13, 2021 TO: Derivatives Markets Advisory Committee RE: Registration Open for May 18th Virtual Meeting of the Derivatives Markets Advisory Committee On Tuesday, May 18th, from 1:00 pm-3:30 pm ET , ICI will hold a virtual members-only meeting of the Derivatives Markets...
[33442] April 12, 2021 TO: ICI Global Regulated Funds Committee ICI Global UK Financial Services Compensation Scheme Working Group RE: ICI Global Letter on UK Financial Services Compensation Scheme Look Through Provisions On 7 April 2021, ICI and ICI Global sent a letter to the...
[33445] April 12, 2021 TO: Investment Company Directors SUBJECTS: Money Market Funds RE: IDC Files Letter on Potential Money Market Fund Reforms IDC today filed with the SEC the attached comment letter regarding the recent report of the President’s Working Group on Financial Markets...
