[32940] November 24, 2020 TO: Derivatives Markets Advisory Committee RE: CFTC Adopts Amendments to SEF Regulations for Package Transactions and Error Trades On November 18, the Commodity Futures Trading Commission (CFTC or “Commission”) approved a final rule to amend certain...
[32939] November 23, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SUBJECTS: Compliance Disclosure ESG International/Global Investment Advisers RE: Asia ESG: Summary of HK SFC Consultation on Climate Risk...
[32936] November 23, 2020 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: ICI Draft Comment Letters to CFTC and SEC on Portfolio Margining - Your Comments Requested by December 1 On October 22nd, the Securities...
[32938] November 23, 2020 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee RE: Member Call to Discuss the Leverage-Related Questions in the EC's AIFMD Review - December 7 at 11:30 am (Eastern) As previously reported, the European Commission published a...
[32937] November 23, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: IRS Publishes 2020 Required Amendments List for Individually-Designed Qualified Retirement Plans and 403(b) Plans The Internal Revenue Service (IRS) issued Notice...
[32930] November 20, 2020 TO: ICI Global Regulated Funds Committee LIBOR Transition Working Group SEC Rules Committee RE: LIBOR Update: Updates from the Financial Stability Board On November 20, 2020, the Financial Stability Board (FSB) issued a progress report on benchmark reform. [1...
[32931] November 20, 2020 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee Operations Committee Public Communications Committee SEC...
[32927] November 20, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Transfer Agency RE: ICI Files Comment Letter with FinCEN on Its Advanced Notice of Proposed Rulemaking Regarding Anti-Money Laundering Program...
[32934] November 20, 2020 TO: ESG Task Force EU ESG Disclosure Regulation Working Group ICI Global Regulated Funds Committee RE: EU ESG: ESMA Consultation on Taxonomy Reporting for NFRD Entities (Including Asset Managers) The European Securities and Markets Authority (ESMA) recently...
[32929] November 20, 2020 TO: Variable Insurance Products Advisory Committee RE: VIPAC Reminder and Agenda - December 3 Virtual Meeting On Thursday, December 3, 2020, from 1:00-2:30 pm ET, ICI will hold a virtual meeting of the Variable Insurance Product Advisory Committee. We are...
[32935] November 20, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension Tax RE: IRS and Treasury Release 2020–2021 Priority Guidance Plan - Retirement Savings Items The IRS and Treasury Department have released their 2020–2021 Priority...
[32926] November 19, 2020 TO: Global Advocacy Coordination Advisory Committee Global Operations Advisory Committee Global Operations Advisory Committee - Asia ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia ICI Global...
[32923] November 19, 2020 TO: Registered Fund CPO Advisory Committee RE: Register Now for December 10 Registered Fund CPO Advisory Committee Meeting On Thursday, December 10 from 1:00 pm-2:30 p.m. ET, ICI will hold a virtual meeting of the Registered Fund CPO Advisory Committee. If...
[32928] November 19, 2020 TO: ICI Global Regulated Funds Committee LIBOR Transition Working Group SEC Rules Committee SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Updates from the ICE Benchmark Administrator, UK Financial Conduct Authority, and US Federal...
[32924] November 19, 2020 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Registration for December 9 Monthly Tax Committee Call Registration for the December Tax Committee call is now open; please register here . The call is scheduled for Wednesday...
[32925] November 19, 2020 TO: Bank-Affiliated Member Advisory Committee RE: Register Now for December 16 Bank-Affiliated Member Advisory Committee Meeting On Wednesday, December 16 from 1:00 pm-2:00 pm ET, ICI will hold a virtual meeting of the Bank-Affiliated Member Advisory...
[32921] November 18, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: DOL Finalizes Registration Requirements for Pooled Plan Providers On November 12, the Department of Labor (DOL) released a final rule that establishes the...
[32918] November 18, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Releases Draft Form and Instructions for Individuals' Reporting of Coronavirus...
[32920] November 18, 2020 TO: Tax Committee RE: Draft Letter Regarding Website Reporting of Distribution Information - Comments Requested Attached is a draft letter to the Treasury Department and the Internal Revenue Service (IRS) reiterating ICI’s prior requests for clarification...
[32922] November 18, 2020 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...
[32919] November 18, 2020 TO: EU ESG Disclosure Regulation Working Group RE: Dates for the Next SFDR Workshops; Question About BaFin ESG Marketing Rule Standards Dates for the next SFDR Workshops: 1 December and 17 December, 2020. Based on your feedback, we are scheduling two more...
[32914] November 17, 2020 TO: ICI MembersDerivatives Markets Advisory Committee SUBJECTS: Derivatives RE: CFTC Staff Extends No-Action Relief for SEFs from Certain Block Trade Requirements The Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC or...
[32916] November 17, 2020 TO: Advertising Compliance Advisory Committee RE: December 2 Call of the Advertising Compliance Advisory Committee-Request for Topics and Registration Instructions The Committee will have its next quarterly conference call on Wednesday, December 2, from 2:00...
[32915] November 17, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: ICI Comment Letter on DOL Lifetime Income Disclosure Interim Final Rule Today, ICI submitted the attached comment letter on the Department of Labor (DOL) interim...
