[32813] October 7, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Operations Trading and Markets RE: CFTC Adopts Amendments to Swap Data Reporting Requirements In September, the Commodity Futures Trading Commission...
[32809] October 6, 2020 TO: Closed-End Investment Company Committee RE: Register for the Closed-End Investment Company Committee Fall Meeting (November 12) and the 2020 Closed-End Fund Conference (November 4 and 5) Committee Meeting Please note that, due to COVID-19 concerns, the Fall...
[32808] October 6, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee Proxy Working Group SEC Rules Committee SUBJECTS: Pension RE: ICI Submits Comment Letter in Response to DOL Proposal on Fiduciary Duties Regarding Proxy Voting and Shareholder Rights The...
[32804] October 5, 2020 TO: Internal Sales Managers Roundtable RE: Registration Now Open: November 5, 2020 Virtual Internal Sales Managers Roundtable Meeting ICI’s Internal Sales Managers Roundtable will meet via Zoom on Thursday, November 5, from 3:00 to 4:30 p.m. (ET). Online...
[32799] October 5, 2020 TO: Equity Markets Advisory Committee Fixed-Income Advisory Committee RE: SEC Fixed Income Market Structure Advisory Committee Meeting Scheduled for Monday, October 5 - Agenda Available The Securities and Exchange Commission (SEC) Fixed Income Market Structure...
[32807] October 5, 2020 TO: ICI Global Members SUBJECTS: International/Global RE: ICI Global Letter on Proposed Changes to the Australian Foreign Investment Review Framework In June 2020, the Australian Government released a paper outlining comprehensive reforms to Australia’s foreign...
[32805] October 5, 2020 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: Notice of Next Meeting of the ICI Global Regulated Funds Committee - October 29, 2020 The next meeting of the ICI Global Regulated Funds Committee will be held virtually on Thursday...
[32806] October 5, 2020 TO: ICI Global Members ESG Task Force (Global) EU ESG Disclosure Regulation Working Group SUBJECTS: Disclosure ESG International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: European Commission Confirms Delay of SFDR Level 2 Requirements...
[32800] October 2, 2020 TO: Global Operations Advisory Committee Global Operations Advisory Committee - Asia ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia Securities Operations Advisory Committee RE: Soliciting...
[32803] October 2, 2020 TO: ICI Global Members Derivatives Markets Advisory Committee Global Operations Advisory Committee ICI Global Brexit Task Force ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global RE: ESMA...
[32801] October 2, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: ICI Requests Permanency of IRS Remote Notarization Guidance Due to Ongoing Pandemic In the attached letter, ICI joined with several other organizations to request that...
[32802] October 2, 2020 TO: ICI Members ICI Global Members Global Advocacy Coordination Advisory Committee ICI Global Atlantic Chapter ICI Global Brexit Task Force ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee...
[32798] October 1, 2020 TO: ICI Members ICI Global Members Accounting/Treasurers Committee ICI Global Tax Committee Tax Committee SUBJECTS: Fund Accounting & Financial Reporting International/Global Tax RE: INDIA: Dividend Surcharge Tax Cap Enacted On September 29, 2020, the Indian...
[32794] October 1, 2020 TO: Small Funds Committee RE: Mark Your Calendar - 2021 Small Funds Committee Meetings Please mark your calendar with the following Small Funds Committee meetings scheduled in 2021: February 16, 2021 Small Funds Audit Trends 2020 – Zoom May 4-5, 2021* Marriott...
[32795] October 1, 2020 TO: Fixed-Income Advisory Committee RE: SEC Proposes to Apply Regulation ATS and Regulation SCI to US Government Securities Markets On September 28, the SEC proposed amendments to Regulation ATS to require an alternative trading system (ATS) that trades...
[32796] October 1, 2020 TO: Series Trust Advisory Committee RE: Mark Your Calendar - 2021 Series Trust Committee Meetings Please mark your calendar with the following Series Trust Committee meetings scheduled in 2021: March 16 May 17 August 17 November 10 Meetings will be held...
[32797] October 1, 2020 TO: ICI Members Tax Committee SUBJECTS: Tax RE: ICI Comment Letter to IRS on Proposed Regulations Under Section 1061 ICI has submitted the attached letter asking the Treasury Department and the Internal Revenue Service (IRS) to maintain in final regulations the...
[32792] September 30, 2020 TO: ICI Members Operations Committee Privacy Issues Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Privacy State Issues RE: California Extends Privacy Law Exclusion for Employee Information Until January 1, 2022 As...
[32793] September 30, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: ICI Submits Comment Letter Regarding DOL Proposed Registration Requirements for Pooled Plan Providers Today, ICI submitted the attached comment letter to the...
[32787] September 30, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Distribution...
[32791] September 29, 2020 TO: ICI Global Members SUBJECTS: MiFID, EMIR, AIFMD, UCITS V RE: Comment Letter on Remuneration Aspects of FCA's DP20/2: Prudential Requirements for MiFID Investment Firms On June 23, the UK Financial Conduct Authority (FCA) published a discussion paper on...
[32788] September 29, 2020 TO: ICI Global Members ESG Task Force (Global) EU ESG Disclosure Regulation Working Group SUBJECTS: Disclosure ESG RE: EU ESG: Summary of ESAs' Consultation on Draft SFDR Product Disclosure Templates The European Supervisory Authorities [1] (ESAs) published...
[32790] September 29, 2020 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Regulated Funds...
[32789] September 29, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Finalizes Regulation on Default Withholding for Periodic Payments from Retirement Plans and Annuities...
[32785] September 28, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee Privacy Issues Working Group SEC Rules Committee SUBJECTS: Pension RE: Joint Trade Group Sends Letter to DOL Requesting Extension of Comment Period on Proposal on Fiduciary Duties...
