[33444] April 12, 2021 TO: ICI Members Investment Company Directors ICI Global Members Money Market Funds Advisory Committee SUBJECTS: Money Market Funds RE: ICI Files Comment Letter to SEC on PWG's Report Regarding Money Market Funds As you know, the SEC has published a request for...
[33443] April 12, 2021 TO: Accounting/Treasurers Committee Tax Committee RE: Member Call to Discuss ETF Conversions - Tax Issues ICI will hold a members-only Zoom meeting on Thursday, April 22 to discuss exchange traded fund (ETF) conversions and related tax issues. Rob Meiner, Joel...
[33448] April 12, 2021 TO: ICI Members ICI Global Members SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: New York Governor Signs LIBOR Tough Legacy Legislation On April 6, New York Governor Andrew Cuomo signed legislation to provide replacement benchmark rates...
[33441] April 12, 2021 TO: Chief Compliance Officer Committee ESG Advisory Group ESG Task Force Internal Audit Committee RE: The Division of Examinations Publishes Risk Alert with Observations from Its Exams of Investment Advisers and Funds Regarding ESG Investing Last Friday, April...
[33438] April 9, 2021 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda and Registration for April 15 Tax Committee Call Attached is the agenda for the next monthly Tax Committee call, to be held on Thursday, April 15, 2021, at 11:00 a.m. ET...
In December, the SEC adopted new Rule 2a-5 (the “fair value rule”) under the Investment Company Act, which addresses the fair valuation responsibilities of funds and their boards and advisers.
[33434] April 8, 2021 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: Save the Date for the Annual ICI/EFAMA Meeting on May 19 We are pleased to let you know that we will be holding the annual ICI/EFAMA meeting in a virtual format on May 19, from 10:00 a...
[33424] April 6, 2021 TO: ESG Task Force EU ESG Disclosure Regulation Working Group ICI Global Regulated Funds Committee RE: Call Announced Regarding ESAs' Consultation on Taxonomy for Article 8 & 9 Product Disclosure - 15 April, 16:00 BST/11:00 EDT We will hold a call to discuss our...
[33425] April 6, 2021 TO: Variable Insurance Products Advisory Committee RE: Save the Date - June 9th Virtual VIPAC Meeting We are pleased to announce that we will hold our next virtual meeting of ICI’s Variable Insurance Product Advisory Committee on Wednesday, June 9, 2021 . The...
[33411] April 1, 2021 TO: ICI Members SUBJECTS: Audit and Attest Closed-End Funds Fund Accounting & Financial Reporting RE: SEC Issues Dear CFO Letter for Investment Companies On March 30, 2021 the staff of the Chief Accountant?s Office in the Division of Investment Management issued...
[33399] March 29, 2021 TO: ICI Members ICI Global Members SUBJECTS: Audit and Attest Compliance Disclosure International/Global RE: SEC Adopts Form Amendments to Implement the Disclosure and Submission Requirements of the Holding Foreign Companies Accountable Act The US Securities and...
[33396] March 26, 2021 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: Notice of Upcoming Meeting of the ICI Global Regulated Funds Committee on May 4, 2021 The next meeting of the ICI Global Regulated Funds Committee will be held virtually on Tuesday...
[33395] March 26, 2021 TO: Equity Markets Advisory Committee RE: SEC Denies Major Exchange Groups' Motion to Stay Market Data Infrastructure Rule On March 24, the SEC issued an order denying the three major exchange groups’ motion to stay the implementation of the Market Data...
To assist funds in implementing new Rule 12d1-4 under the Investment Company Act of 1940, attached are two sample form of Fund of Funds Investment Agreements that can be used between acquiring funds and acquired funds. One version of the form contains footnotes while the other version...
[33382] March 25, 2021 TO: Money Market Funds Advisory Committee RE: ICI Draft Comment Letter on PWG MMF Reforms; Comments Due April 5 As you know, the SEC has published a request for public comment on potential reform measures to improve the resilience of money market funds as...
[33381] March 25, 2021 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Registration for April 15 Monthly Tax Committee Call The next monthly Tax Committee call will be held on Thursday, April 15, at 11:00 a.m. ET. You can register for the call here...
[33384] March 25, 2021 TO: Disclosure Working Group ESG Advisory Group ESG Task Force SEC Rules Committee RE: ESG-Related Workstreams: Members Invited to Participate ICI is launching two workstreams related to ESG disclosures, and we would like to know if you are interested in...
[33374] March 24, 2021 TO: Municipal Securities Advisory Committee RE: May 12 Municipal Securities Advisory Committee Meeting The next meeting of the Municipal Securities Advisory Committee has been scheduled for Wednesday, May 12th and will be held virtually via Zoom. The meeting...
[33373] March 24, 2021 TO: ESG Task Force EU ESG Disclosure Regulation Working Group ICI Global Regulated Funds Committee RE: ESAs Publish Consultation on Taxonomy for Article 8 & 9 Product Disclosure RTS The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) launched...
[33345] March 23, 2021 TO: ICI Members SUBJECTS: Compliance Disclosure Transfer Agency RE: SEC Institutes Proceedings to Determine Whether to Approve or Disapprove NYSE's Proposed Rule Change to Move Responsibility to FINRA for Processing Fee Schedule As we previously reported to you...
[33344] March 23, 2021 TO: ICI Members ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: ESG RE: Summary of SEC's March 19 AMAC Meeting The SEC’s Asset Management Advisory Committee (AMAC) met on March 19. The agenda [1] covered discussions of: (1) the ESG Subcommittee...
[33346] March 23, 2021 TO: ETF (Exchange-Traded Funds) Committee RE: May 25 ETF Committee Virtual Meeting The next meeting of the ETF Committee (which is limited to ETF sponsors) has been scheduled for Tuesday, May 25 and will be held virtually via Zoom. The meeting will begin at 2:00...
[33273] March 19, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Operations Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Operations Transfer Agency RE: New Fraud Prevention Resources Available on ICI's Website We are...
[33271] March 19, 2021 TO: Broker/Dealer Advisory Committee RE: Registration Now Open - Broker/Dealer Advisory Committee Meeting - April 20-22, 2021 The Investment Company Institute’s Broker/Dealer Advisory Committee will meet virtually April 20-22, 2021 in four 90-minute online...
