[33129] February 24, 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...
[33130] February 24, 2021 TO: ICI Members ICI Global Members ESG Advisory Group ESG Task Force EU ESG Disclosure Regulation Working Group ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SEC Rules Committee SUBJECTS: ESG International/Global RE: Updated...
[33126] February 23, 2021 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Operations Committee SEC Rules Committee SUBJECTS: Litigation & Enforcement RE: SEC Files a Civil Action Against Morningstar Credit Ratings LLC for Violations of the Federal...
[33127] February 23, 2021 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: ICI Submits Letter to IRS Regarding Application of Certain ERISA Requirements to Terminating 403(b) Plans ICI submitted the attached letter to the Internal Revenue...
[33124] February 22, 2021 TO: Research Committee RE: REGISTRATION OPEN for ICI Research Committee Video Meeting: March 16, 2021, 11:00 AM (ET) to 2:00 PM (ET) The ICI Research Committee will be having a Zoom video meeting on March 16, 2021 to update committee members on recent policy...
[33125] February 22, 2021 TO: ICI Members Tax Committee SUBJECTS: Fund Accounting & Financial Reporting State Issues Tax RE: ICI Submits Opposition Letter to NY Stock Transfer Tax (STT) The ICI submitted the attached letter opposing any repeal or reduction to the NY stock transfer...
[33112] February 17, 2021 TO: Tax Committee RE: For Your Review: DRAFT Letter Re: IRS Form SS-4 Responsible Party Requirements Attached for your review are draft Investment Company Institute recommendations to improve Internal Revenue Service (IRS) Form SS-4, Application for Employer...
[33113] February 17, 2021 TO: ICI MembersICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Compliance Investment Advisers RE: ICI Submits Comment Letter to FTC on Aggregation Rule ICI submitted a comment letter on February 1 to the Federal Trade Commission (FTC or...
[33109] February 17, 2021 TO: SEC Rules Committee RE: Reminder: February 24th Virtual Meeting of SEC Rules Committee - Agenda Attached On Wednesday, February 24th, from 1:00-3:30 pm ET, ICI will hold a virtual meeting of the SEC Rules Committee. An agenda for the meeting is attached...
[33111] February 17, 2021 TO: Equity Markets Advisory Committee RE: Major Exchange Groups Petition DC Circuit Court of Appeals to Review SEC's Market Data Infrastructure Rule On February 5, the three major exchange groups—NYSE, Nasdaq, and Cboe—filed respective petitions with the US...
[33106] February 16, 2021 TO: Small Funds Committee RE: ICI Small Funds Regulatory Update, Wednesday, March 31, 2021 2:00 -3:00 p.m. ET The Investment Company Institute’s Small Funds Committee Regulatory Update session will take place on Wednesday, March 31, 2021 2:00 -3:00 p.m. ET...
[33107] February 16, 2021 TO: Small Funds Sales and Marketing Subcommittee RE: February Quarterly Shop Talk Part II - Wednesday March 10 1:00pm - 2:00pm ET The next meeting of the Investment Company Institute’s Small Funds Sales & Marketing Sub Committee “Shop Talk” will be held on...
[33108] February 16, 2021 TO: ICI Members ICI Global Members ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: UK Treasury Issues Consultation on Safe Harbor for Benchmarks Regulation The UK HM...
[33105] February 16, 2021 TO: Advertising Compliance Advisory Committee RE: REMINDER: Advertising Compliance Advisory Committee Call on March 3; Request for Discussion Items The Advertising Compliance Advisory Committee will have its next quarterly conference call on Wednesday, March...
[33104] February 16, 2021 TO: ICI Global Members ESG Task Force ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Distribution ESG International/Global MiFID, EMIR, AIFMD, UCITS V Trading and Markets RE...
[33103] February 12, 2021 TO: Fixed-Income Advisory Committee SEC Rules Committee RE: Your Comments Requested: Letter on SEC Proposed Government Securities ATS Rule and Fixed Income Electronic Trading Concept Release As we previously informed you, the Securities and Exchange...
[33102] February 10, 2021 TO: Disclosure Working Group RE: Videoconference with SEC Staff to Discuss Recent ESG Comments - March 1 at 2:00 pm (Eastern) Please note that the next meeting of the Disclosure Working Group will be held via Zoom videoconference on Monday, March 1 from 2:00...
[33101] February 10, 2021 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda and Registration for February 18 Tax Committee Call The agenda for the February 18 Tax Committee call (11:00 a.m. ET) is attached. You can register for the call here...
[33100] February 9, 2021 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: ESG International/Global RE: IOSCO Survey on ESG Ratings and Data Providers We wanted to alert you to the attached IOSCO survey on the use of ESG ratings and ESG data products...
[33098] February 9, 2021 TO: Internal Audit Committee RE: 2021 Internal Audit Committee Schedule We have set the dates for the virtual meetings/calls of ICI’s Internal Audit Committee for 2021. These dates are listed below. At the appropriate time, which will be a few weeks in advance...
[33096] February 8, 2021 TO: ICI Members ICI Global Members EU ESG Disclosure Regulation Working Group EU Sustainable Finance Strategy Working Group Global Operations Advisory Committee ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee International...
[33099] February 8, 2021 TO: ICI Global Members ESG Task Force EU ESG Disclosure Regulation Working Group ICI Global Regulated Funds Committee SUBJECTS: ESG International/Global MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: Final Response to Commission Consultation on Sustainable Corporate...
[33097] February 8, 2021 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Registration Now Open for ICI's March 23, 2021 AML Compliance Working Group Virtual Meeting ICI’s AML Compliance Working Group will hold a videoconference meeting via Zoom on Tuesday, March...
[33095] February 8, 2021 TO: ICI Members Investment Company Directors Money Market Funds Advisory Committee SUBJECTS: Money Market Funds RE: SEC Issues Request for Comment on PWG's Report on MMFs Last week, the SEC published a request for public comment on potential reform measures to...
