[32965] December 4, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: SEC...
[32966] December 4, 2020 TO: ICI Global Tax Committee Tax Committee RE: For Your Review: Draft ICI Global Comments on OECD Blueprints on Pillars One and Two Attached for your review are draft ICI Global comments on the OECD Inclusive Framework on BEPS’ “Blueprints” for addressing the...
[32962] December 4, 2020 TO: ESG Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia RE: Asia ESG: ICI Global Submits Response to HK SFC Soft Consultation on Minimum Requirements for ESG Funds We submitted the attached informal response via...
[32964] December 4, 2020 TO: ICI Global Members ESG Task Force EU ESG Disclosure Regulation Working Group Global Operations Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: ESG International/Global MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: ICI Global Submits Response to...
[32961] December 4, 2020 TO: Bank, Trust and Retirement Advisory Committee RE: Registration Open - Virtual Bank, Trust and Retirement Advisory Committee Meeting January 13 -14, 2021 The next Bank, Trust and Retirement Advisory Committee (BTRAC) meeting will take place on Wednesday...
[32963] December 4, 2020 TO: ICI Members ICI Global Members SUBJECTS: International/Global RE: Executive Order 13959 on Securities Investments in Communist Chinese Military Companies (CCMCs): Additional Companies Added to the CCMC List As we previously informed you, on November 12...
[32960] December 3, 2020 TO: Bank-Affiliated Member Advisory Committee RE: Draft Agenda, Registration Link for December 16 Bank-Affiliated Member Advisory Committee Meeting As previously announced, ICI will hold a virtual meeting of the Bank-Affiliated Member Advisory Committee on...
[32959] December 3, 2020 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Money Market Funds Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory...
[32958] December 2, 2020 TO: Registered Fund CPO Advisory Committee RE: Draft Agenda, Registration Link for December 10 Registered Fund CPO Advisory Committee Meeting As previously announced, ICI will hold a virtual meeting of the Registered Fund CPO Advisory Committee next Thursday...
[32956] December 2, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory...
[32957] December 2, 2020 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda and Registration for December 9 Tax Committee Call Registration for the December Tax Committee call is now open; please register here . The call is scheduled for...
[32952] December 1, 2020 TO: ICI Members Chief Compliance Officer Committee SUBJECTS: Compliance RE: OCIE Updates: The 2020 National Outreach Program; the Director's Views About CCOs; and OCIE's Risk Alert Containing Observations on Advisory Compliance Programs This memo is intended...
[32953] December 1, 2020 TO: EU ESG Disclosure Regulation Working Group RE: SFDR - Agenda and Workshop Questions from 1 December Meeting; Next Meeting - 17 December, 16:00 GMT/11 a.m. ET The agenda and the workshop questions from a meeting that took place on 1 December are attached...
[32954] December 1, 2020 TO: ICI Members ICI Global Members SUBJECTS: International/Global RE: Letter to OFAC on Executive Order 13959 on Securities Investments in Communist Chinese Military Companies On November 12, President Trump issued an Executive Order entitled “Executive Order...
[32955] December 1, 2020 TO: ESG Task Force EU ESG Disclosure Regulation Working Group ICI Global Regulated Funds Committee RE: EU ESG: Draft Response to ESMA Consultation on Taxonomy Reporting for NFRD Entities (Including Asset Managers) Attached for your review is our draft response...
[32950] November 30, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Extension of USD LIBOR and Further Information...
[32951] November 30, 2020 TO: ICI Members ICI Global Members ICI Global Tax Committee Tax Committee SUBJECTS: Fund Accounting & Financial Reporting International/Global Tax RE: ICI Global Submits Recommendations on Tax Issues for Indian 2021 Union Budget ICI Global submitted the...
[32949] November 30, 2020 TO: SEC Rules Committee RE: Reminder: December 15th Virtual Meeting of SEC Rules Committee - Draft Agenda Attached On Tuesday, December 15th, from 1:00-4:00 pm ET , ICI will hold a virtual meeting of the SEC Rules Committee. We are pleased to have as our...
[32948] November 27, 2020 TO: Derivatives Markets Advisory Committee LIBOR Transition Working Group SEC Rules Committee SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Updates from the CFTC On November 24, 2020, CFTC Chairman Heath Tarbert issued a statement on...
[32946] November 27, 2020 TO: Global Operations Advisory Committee Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia RE: ICI Global's Submission to PBOC, CSRC, SAFE for Further...
[32945] November 25, 2020 TO: Derivatives Markets Advisory Committee ICI Global Brexit Task Force RE: Brexit: ESMA Statement on the EU Derivative Trading Obligation On 25 November 2020, the European Securities and Markets Authority (ESMA) published [1] a final statement [2] concerning...
[32941] November 24, 2020 TO: Chief Compliance Officer Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: SEC Adopts Rules to Accommodate Electronic Signatures On November 17, 2020, the SEC published a release announcing that...
[32943] November 24, 2020 TO: Accounting/Treasurers Committee ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee RE: ICI Responding to IFRS Consultation on Creation of New Sustainability Standards Board As you may be aware, the International...
[32942] November 24, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Disclosure Financial Stability Fixed Income Securities Fund Governance Money Market Funds Operations Risk Oversight Trading and Markets RE: Chairman Clayton Speech Reviews Tenure, Suggests Areas for...
[32944] November 24, 2020 TO: ICI Global Tax Committee Tax Committee RE: DRAFT Submission RE Indian 2021 Union Budget - Comments Due Friday, November 27 As discussed on previous tax committee calls, the Indian Government is seeking input for the 2021 Union Budget. ICI Global intends...
