[33274] March 19, 2021 TO: ICI Global Members SUBJECTS: International/Global RE: European Commission Consultation on Supervisory Convergence and the Single Rule Book On March 12, 2021, the European Commission (EC) issued a consultation on supervisory convergence and the single...
[33270] March 19, 2021 TO: Transfer Agent Advisory Committee RE: Registration Now Open for ICI's May 4-5, 2021 Transfer Agent Advisor Committee Virtual Meetings ICI’s Transfer Agent Advisory Committee will meet virtually on Tuesday, May 4th and Wednesday, May 5th. The committee...
[33238] March 17, 2021 TO: ICI Global Members SUBJECTS: MiFID, EMIR, AIFMD, UCITS V RE: Response to EBA Consultation on Remuneration Guidelines Under the Investment Firms Directive On December 17, 2020, the European Banking Authority (EBA) issued a consultation on guidelines on sound...
[33240] March 17, 2021 TO: Equity Markets Advisory Committee Security Valuation Operations Committee RE: SEC Final Rule to Update NMS Market Data Infrastructure Last December, the SEC unanimously adopted a final rule to expand NMS market data content and replace the exclusive...
[33239] March 17, 2021 TO: ICI Members Derivatives Markets Advisory Committee ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: ESG RE: CFTC Establishes New Climate Risk Unit On March 17, 2021, CFTC Acting Chairman Rostin Behnam announced that he has established the...
[33241] March 17, 2021 TO: ICI Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force Proxy Working Group SEC Rules Committee SUBJECTS: Disclosure ESG Fees and Expenses Investment Advisers RE: Speech by SEC Acting Chair Lee on Disclosure of Fund Proxy Voting On...
[33194] March 15, 2021 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: ICI Submits Response to UK Treasury Consultation on Safe Harbours This week, ICI submitted a response to the HM Treasury (HMT)...
[33193] March 15, 2021 TO: ICI Members ICI Global Members SUBJECTS: International/Global RE: OFAC Issues New FAQs Related to Executive Order 13959; Preliminary Injunction Motion for Xiaomi Corporation Granted We wanted to inform you about two recent developments related to Executive...
[33196] March 15, 2021 TO: ICI Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: Disclosure ESG RE: SEC Acting Chair Lee Speech on Climate and ESG Disclosure On March 15, 2021, SEC Acting Chair Allison Herren Lee gave a speech...
[33195] March 15, 2021 TO: ICI Members Audit Committee ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: Disclosure ESG RE: SEC Requests Public Input on Climate Change Disclosures On March 15, 2021, SEC Acting Chair Allison Herren Lee issued a public statement requesting...
[33186] March 12, 2021 TO: Operations Committee RE: Registration Open - Virtual Operations Committee Meeting April 14-15 2021 The next Operations Committee meeting will take place on Wednesday, April 14 and Thursday, April 15, 2021. Due to the current challenges and travel...
[33187] March 12, 2021 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee ICI Global Tax Committee Tax Committee SUBJECTS: International/Global Tax RE: Request to Treasury and IRS for Additional Guidance for RICs Receiving EU Reclaims The...
[33180] March 12, 2021 TO: ICI Members ESG Advisory Group ESG Task Force SUBJECTS: Disclosure ESG RE: SEC Division of Corporation Finance Acting Director Coates Speech on ESG Disclosure Mr. John Coates spoke today at the Annual Tulane Corporate Law Institute , highlighting some of the...
[33188] March 12, 2021 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee - Asia SUBJECTS: ESG International/Global RE: ICI Submits Response to Singapore Consultation on a Green Taxonomy (Similar to EU Taxonomy) We submitted the attached response to a...
[33178] March 11, 2021 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda and Registration for March 18 Tax Committee Call Attached is the agenda for the next monthly Tax Committee call, to be held on Thursday, March 18, 2021, at 11:00 a.m. ET...
[33179] March 11, 2021 TO: Security Valuation Operations Committee RE: Registration Now Open - Security Valuation Operations Committee Meeting April 20 The next meeting of the Security Valuation Operations Committee has been scheduled for Tuesday, April 20 from 1:00 – 3:00 p.m...
[33177] March 11, 2021 TO: ICI Members ICI Global Members ICI Global Tax Committee Tax Committee SUBJECTS: International/Global Tax RE: IRS Form 6166, Certification of US Tax Residency - Status Update The Investment Company Institute was recently informed by the Internal Revenue...
[33176] March 10, 2021 TO: ICI Members Investment Company Directors ICI Global Members Bank, Trust and Retirement Advisory Committee ESG Advisory Group ESG Task Force ICI Global Retirement Savings Committee Pension Committee Pension Operations Advisory Committee Proxy Working Group...
[33171] March 9, 2021 TO: ICI Global Regulated Funds Committee ICI Global Tax Committee Tax Committee RE: Member Meeting to Discuss Asset Management Tax Issues in Spain ICI and ICI Global will be holding a members-only Zoom meeting on Wednesday, March 10 to discuss various asset...
[33174] March 9, 2021 TO: ICI Members ICI Global Members SUBJECTS: International/Global RE: UK Government Publishes Response to NSI Bill Consultation on Mandatory Sectors As we previously informed you, on November 11, 2020, the UK Government introduced the National Security and...
[33173] March 9, 2021 TO: Bank, Trust and Retirement Advisory Committee RE: Registration Open - Virtual Bank, Trust and Retirement Advisory Committee Meeting April 28-29, 2021 The next Bank, Trust and Retirement Advisory Committee (BTRAC) meeting will take place on Wednesday, April 28...
[33172] March 9, 2021 TO: ICI Members SUBJECTS: Compliance Fees and Expenses Intermediary Oversight Operations Transfer Agency RE: Action Requested - Register to Participate in 2021 ICI Mutual Fund Transfer Agents Trends & Billing Practices Survey The Investment Company Institute...
[33175] March 9, 2021 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: Draft Response to EBA Consultation on Remuneration Guidelines Under the IFD; Comments Requested by COB March 12 As we previously informed you, on December 17, 2020, the European...
[33170] March 9, 2021 TO: ICI Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force SEC Rules Committee SUBJECTS: Disclosure ESG RE: SEC ESG Updates: Enforcement Task Force, Examination Priorities, and Commissioners' Statement Last week, the SEC announced the...
