[33040] January 13, 2021 TO: Investment Adviser and Broker-Dealer Standards of Conduct Working Group Operations Committee Pension Committee Pension Operations Advisory Committee RE: Conference Call - The Future of DOL Fiduciary Advice Rulemaking - Jan. 25 at 2:00 p.m. ET ICI will hold...
[33039] January 13, 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: Recording/Slides for ICI Member Call on EU ESG: What's Coming in 2021 We...
[33041] January 13, 2021 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: China Enacts Countermeasures Against Recent Foreign Sanctions In response to a wave of sanctions imposed by the US Government...
[33034] January 12, 2021 TO: EU ESG Disclosure Regulation Working Group EU Sustainable Finance Strategy Working Group Global Advocacy Coordination Advisory Committee Global Operations Advisory Committee ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds...
[33036] January 12, 2021 TO: ICI Members SUBJECTS: Compliance Disclosure Transfer Agency RE: ICI Letter on NYSE Proposal to Move Responsibility to FINRA for Processing Fee Schedule Attached is a letter that the ICI filed with the SEC, supporting the New York Stock Exchange’s proposed...
[33038] January 12, 2021 TO: Money Market Funds Advisory Committee RE: January 19 Money Market Funds Advisory Committee Meeting We have scheduled a meeting of the Money Market Funds Advisory Committee for Tuesday, January 19th to discuss the PWG’s report on money market funds (link to...
[33037] January 12, 2021 TO: Small Funds Committee RE: Mark Your Calendar - Revised 2021 Small Funds Committee Meetings Considering the ongoing pandemic, the Small Funds Committee is planning virtual meetings in 2021. Input from members indicate that short sessions spread throughout...
[33032] January 11, 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 - What's Coming in 2021 We thought it might be helpful to kick off 2021 with a call to discuss the...
[33033] January 11, 2021 TO: LIBOR Transition Working Group RE: LIBOR Update: Draft Comment Letters on ICE Benchmark Administration and UK Financial Conduct Authority Consultations; Member Feedback Requested by January 14 Recently, the ICE Benchmark Administration (IBA) [1] and UK...
[33031] January 8, 2021 TO: ICI Members ICI Global Members Global Operations Advisory Committee ICI Global Atlantic Chapter ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee International Compliance Advisory Committee SUBJECTS: International/Global...
[33030] January 8, 2021 TO: ICI Global Retirement Savings Committee RE: Save the Date: ICI Global Retirement Savings Committee Video Meetings for the Pacific Track As you are aware, the ICI Global Retirement Savings Committee operates on two tracks – Atlantic and Pacific – and any...
[33026] January 7, 2021 TO: SEC Rules Committee Transfer Agent Advisory Committee RE: Request to Consider Filing a Letter Similar to Draft ICI Letter on NYSE Proposal to Eliminate Processing Fee Schedule Attached for your review is a draft letter that the ICI plans on filing this...
[33029] January 7, 2021 TO: ICI Members ICI Global Members SUBJECTS: International/Global RE: ICI Global Letter on UK National Security and Investment Bill Consultation On November 11, 2020, the UK Government introduced the National Security and Investment Bill (NSI Bill) to modernize...
[33028] January 7, 2021 TO: Fixed-Income Advisory Committee Money Market Funds Advisory Committee SEC Rules Committee RE: FINRA Requests Comment on Enhancements to TRACE Reporting of Transactions in US Treasury Securities - ICI Member Call on January 15 at 2:00 pm ET On December 23...
[33027] January 7, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension RE: Retirement Provisions Included in Year-End...
[33023] January 6, 2021 TO: Small Funds Sales and Marketing Subcommittee RE: Small Funds Sales & Marketing Sub-Committee Quarterly Shop Talk The next meeting of the Investment Company Institute’s Small Funds Sales & Marketing Sub-Committee “Shop Talk” will be held on February 9, from...
[33024] January 6, 2021 TO: Small Funds Sales and Marketing Subcommittee RE: "How Boutique Asset Managers Are Adjusting to Covid-19": Roundtable with Dan Sondhelm, Sondhelm Partners - February 11, 2:00 pm-3:00 pm ET Join us for an Investment Company Institute’s Small Funds Sales &...
[33025] January 6, 2021 TO: ESG Task Force ICI Global Regulated Funds Committee - Asia RE: FOR REVIEW: Asia ESG: Draft Response to HK SFC Consultation on Climate Risk Requirements for Asset Managers Attached for your review is our draft response to the Hong Kong Securities and Futures...
[33022] January 6, 2021 TO: ICI Members Tax Committee SUBJECTS: Tax RE: IRS Finalizes Regulations Permitting Section 163(j) Interest Dividends The Treasury Department and the Internal Revenue Service (IRS) have finalized regulations that permit regulated investment companies (RICs) to...
[33020] January 6, 2021 TO: Small Funds Committee RE: ICI Small Funds Audit Trends, Tuesday, February 16, 2021 1:00-2:00 p.m. ET The Investment Company Institute’s Small Funds Committee webinar “Audit Trends and Observations” will take place on February 16, 2021 from 1:00 - 2:00 p.m...
[33021] January 5, 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...
[33018] January 5, 2021 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Registration for January 21 Tax Committee Call Registration for the January Tax Committee call is now open; please register here . The call is scheduled for Thursday, January 21...
[33019] January 5, 2021 TO: ESG Task Force EU ESG Disclosure Regulation Working Group RE: FOR REVIEW: Draft Response to ESG-Related Questions in EU AIFMD Consultation Attached for your review is a first draft of our response to the ESG-related questions in the European Commission’s...
[33014] January 4, 2021 TO: ICI Members ICI Global Members ICI Global Brexit Task Force SUBJECTS: International/Global MiFID, EMIR, AIFMD, UCITS V RE: Brexit: Supervisory Memorandum of Understanding On 4 January 2021, the European Securities and Markets Authority (ESMA) and the UK...
