[33012] January 4, 2021 TO: ICI Members ICI Global Members ICI Global Brexit Task Force SUBJECTS: International/Global RE: Brexit: Trade and Cooperation Agreement On 24 December 2020, the United Kingdom (UK) and the European Union (EU) agreed a Trade and Cooperation Agreement (TCA) [1...
[33015] January 4, 2021 TO: ICI Members ICI Global Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SEC Rules Committee SUBJECTS: Disclosure ESG International/Global RE: ICI...
[33017] January 4, 2021 TO: Advertising Compliance Advisory Committee RE: 2021 Schedule of Quarterly Advertising Compliance Advisory Committee Calls To provide members of the Advertising Compliance Advisory Committee a forum to discuss advertising issues, we will continue our...
[33013] January 4, 2021 TO: ICI Members ICI Global Members ICI Global Brexit Task Force SUBJECTS: International/Global RE: Brexit: FCA Statement on the UK Derivative Trading Obligation On 31 December, the UK Financial Conduct Authority (FCA) announced that it would use its temporary...
[33011] December 29, 2020 TO: ICI Members Investment Company Directors Money Market Funds Advisory Committee SUBJECTS: Money Market Funds RE: PWG Issues Report on Money Market Fund Reform; SEC Requests Comment Last week, the President’s Working Group on Financial Markets (PWG) [1]...
[33010] December 28, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: IRS Temporarily Extends Remote Notarization Guidance Due to Ongoing Pandemic In Notice 2021-03, [1] the Internal Revenue Service (IRS) announced an extension of the...
[33009] December 23, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SUBJECTS: ESG International/Global RE: Asia ESG: Monetary Authority of Singapore (MAS) Issues Environmental Risk Management Guidelines for...
[33007] December 22, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Fund Governance RE: IDC Comments on SEC's Disclosure Reform Proposal IDC submitted the attached comment letter on the SEC’s disclosure reform proposal. The letter expresses support for the SEC’s efforts...
On December 21, 2020, Securities and Exchange Commission (“Commission”) Chairman Jay Clayton issued a statement announcing that the Commission’s Division of Trading and Markets released its staff report on the Fixed Income Market Structure Advisory Committee’s work over the past year...
[33006] December 22, 2020 TO: ICI Members Tax Committee SUBJECTS: Tax RE: IRS Issues Final Regulations Under Section 451(b) on Recognition of Income The Internal Revenue Service (IRS) and the Treasury Department have finalized regulations under section 451(b) regarding the recognition...
[33004] December 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee...
[33005] December 22, 2020 TO: ICI Members ICI Global Members SUBJECTS: Derivatives Financial Stability International/Global RE: ESMA Issues Guidelines for Regulating Alternative Investment Fund Leverage The European Securities and Markets Authority last week issued its final report...
[33000] December 21, 2020 TO: Broker/Dealer Advisory Committee RE: Registration Now Open : Broker/Dealer Advisory Committee Meeting - January 26-28, 2021 The Investment Company Institute’s Broker/Dealer Advisory Committee will meet virtually January 26-28, 2021 in four 90-minute...
[33001] December 21, 2020 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...
[33002] December 21, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Investment Advisers Trading and Markets RE: CFTC Adopts Final Rules on Electronic Trading Risk Principles for DCMs The Commodity Futures Trading Commission (“Commission”) recently...
[32998] December 18, 2020 TO: ICI Members Tax Committee SUBJECTS: Tax RE: IRS Extends Ability to Use E-Signatures for Certain Tax Forms On December 11, 2020, the IRS issued a memorandum extending the ability of taxpayers and representatives to use electronic or digital signatures for...
[32996] December 18, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: EBA Publishes Final...
[32999] December 18, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...
[32997] December 18, 2020 TO: ICI Global Members ESG Task Force EU ESG Disclosure Regulation Working Group SUBJECTS: ESG International/Global MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: Central Bank of Ireland (CBI) Announces SFDR Fast Track Prospectus Approval Process The Central Bank of...
[32995] December 17, 2020 TO: ETF (Exchange-Traded Funds) Committee ETF Advisory Committee RE: Save the Date - January 14 ETF Committee and ETF Advisory Committee Meeting We are excited to announce a special joint meeting of the ETF Committee and ETF Advisory Committee for Thursday...
[32994] December 17, 2020 TO: ICI Global Members ESG Task Force EU ESG Disclosure Regulation Working Group SUBJECTS: ESG International/Global MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: Luxembourg CSSF Announces SFDR Fast Track Prospectus Approval Process The Luxembourg Commission de...
[32993] December 17, 2020 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: Notice of the Next Meeting of the ICI Global Regulated Funds Committee on February 3, 2021 The next meeting of the ICI Global Regulated Funds Committee will be held virtually on...
[32991] December 16, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds RE: ICI Submits Comment Letter Responding to SEC Staff Questions on Control Share Acquisition Statutes and Enhancing Public Access to Private Markets Earlier today, ICI submitted the...
