[33092] February 5, 2021 TO: Tax Committee RE: For Your Review: ICI Opposition Letter to NY Stock Transfer Tax Please review the attached draft letter opposing any repeal or reduction to the NY stock transfer sales tax rebate from 100 percent. The letter explains that a repeal or...
[33090] February 5, 2021 TO: ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee RE: Summary of Brookings Event Featuring Larry Fink and Mary Schapiro On February 2, 2021, Brookings sponsored the following event: “Climate change and financial...
[33093] February 5, 2021 TO: ICI Global Members SUBJECTS: MiFID, EMIR, AIFMD, UCITS V RE: European Banking Authority Issues Consultation on Remuneration Guidelines Under the Investment Firms Directive On December 17, the European Banking Authority (EBA) issued a consultation on...
[33091] February 5, 2021 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Fixed-Income Advisory Committee Investment Advisers Committee SEC Rules Committee Securities Operations Advisory Committee Small Funds Committee SUBJECTS: Audit and...
[33089] February 4, 2021 TO: ICI Global Members ESG Task Force EU ESG Disclosure Regulation Working Group ICI Global Regulated Funds Committee SUBJECTS: ESG RE: EU ESG: European Supervisory Authorities Publish Draft Regulatory Technical Standards (RTS) for the Sustainable Finance...
[33087] February 4, 2021 TO: Chief Compliance Officer Committee RE: CCO 2021 Committee Schedule We have set the dates for the virtual meetings/calls of ICI’s Chief Compliance Officer Committee for 2021. These dates are listed below. We are not planning to hold any in-person meetings...
[33088] February 4, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Fund Accounting & Financial Reporting Fund Governance Money Market Funds Operations Transfer Agency Unit Investment...
[33085] February 4, 2021 TO: ICI Members ESG Advisory Group ESG Task Force SUBJECTS: ESG RE: SEC's Asset Management Advisory Committee's ESG Subcommittee: Preliminary Recommendations on Issuer and Fund Disclosure; Commissioner Roisman Statement The SEC’s Asset Management Advisory...
[33086] February 4, 2021 TO: Chief Risk Officer Committee RE: CRO 2021 Committee Schedule We have set the dates for the virtual meetings/calls of ICI’s Chief Risk Officer Committee for 2021. These dates are listed below. We are not planning to hold any in-person meetings this year...
[33084] February 3, 2021 TO: ICI Global Members SUBJECTS: MiFID, EMIR, AIFMD, UCITS V RE: European Banking Authority Issues Final Reports with Draft RTS on Remuneration Under the Investment Firms Directive On January 21, the European Banking Authority (EBA) published two sets of draft...
[33080] February 2, 2021 TO: Series Trust Advisory Committee RE: ICI Series Trust Advisory Committee, Tuesday March 16, 2021 1:00 pm-2:00 pm ET The next meeting of the Investment Company Institute’s Series Trust Advisory Committee will be held on Tuesday March 16, 2021 1:00 pm–2:00 pm...
[33083] February 2, 2021 TO: ESG Task Force EU ESG Disclosure Regulation Working Group EU Sustainable Finance Strategy Working Group ICI Global Regulated Funds Committee RE: EU ESG: Delay of SFDR RTS, Taxonomy, and UCITS/AIFMD/MiFID II Delegated Acts We understand that the European...
[33081] February 2, 2021 TO: ICI Global Members Global Operations Advisory Committee ICI Global Regulated Funds Committee Securities Operations Advisory Committee SUBJECTS: International/Global Operations Settlement RE: ICI Global Submits Response to EU Commission CSDR Consultation on...
[33079] February 2, 2021 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Registration for February 18 Tax Committee Call Registration for the February Tax Committee call is now open; please register here . The call is scheduled for Thursday, February...
[33082] February 2, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Fund Governance RE: IDC Comments on FTC's Proposed Notification Rules under the Hart-Scott-Rodino Act IDC submitted the attached comment letter on the FTC’s proposed notification rules [1] under the Hart...
[33076] February 1, 2021 TO: ICI Global Regulated Funds CommitteeICI Global Tax Committee Tax Committee RE: Meeting to Discuss India's 2021 Union Budget: February 8, 2021 ICI and ICI Global will be holding a members-only zoom meeting on Monday, February 8 to discuss India’s 2021 Union...
[33078] February 1, 2021 TO: ESG Task Force EU ESG Disclosure Regulation Working Group ICI Global Regulated Funds Committee RE: FOR REVIEW: EU ESG: Draft Response to Commission Consultation on Sustainable Corporate Governance The European Commission is currently consulting on an...
[33077] February 1, 2021 TO: ICI Members ICI Global Members ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: European Parliament Adopts Amendments to Benchmarks Regulation The European Union...
[33075] February 1, 2021 TO: Accounting/Treasurers Committee Independent Accountants Advisory Group RE: Accounting/Treasurers Committee Meeting - March 4 A joint meeting of the Accounting/Treasurers Committee and the Independent Accountants Advisory Group has been scheduled for...
Due to COVID-19 concerns, our upcoming Accounting Policy Subcommittee will take place on Zoom. We have decided to break the meeting up into three sessions on March 1, 2 and 3 each from 12:00 p.m.–1:30 p.m. Eastern.
[33068] January 27, 2021 TO: Global Operations Advisory Committee ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee International Compliance Advisory Committee RE: ESMA Consultation on Marketing Communication Guidelines: ICI Global Draft Response for...
[33072] January 27, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...
[33071] January 27, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...
[33070] January 27, 2021 TO: Research Committee Small Funds Committee RE: Research Report with Additional Detail from ICI's Annual Mutual Fund Shareholder Tracking Survey Each year, ICI conducts a telephone survey of US households to track households’ ownership of mutual funds and to...
[33073] January 27, 2021 TO: ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee RE: ICI Submits Letter Responding to TCFD Forward-looking Financial Sector Metrics Consultation ICI submitted the attached response to the Task Force on Climate...
