[32684] August 17, 2020 TO: ICI Global Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Financial Stability International/Global RE: ICI Global Draft Comment Letter on ESMA's Consultation Providing Guidelines for Regulating Alternative Investment Fund Leverage...
[32674] August 14, 2020 TO: Accounting/Treasurers Committee Disclosure Working Group SEC Rules Committee Small Funds Committee RE: Your Feedback Requested by August 27 on ICI Draft Supplemental Comment Letter on Fund Names Rule As we previously informed you, the SEC published a...
[32672] August 13, 2020 TO: ESG Task Force (Global) ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia RE: Asia ESG: ICI Global Response to HK SFC Soft Consultation on Climate Risk Requirements for Asset Managers We submitted the attached informal...
[32668] August 11, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SUBJECTS: Compliance Distribution International/Global Investment Advisers Operations RE: China Launches Consultation on Revising...
[32670] August 11, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure Distribution Fixed Income Securities Trading and Markets RE: SEC Publishes Procedures for Nominating Members to the Investor Advisory Committee On August 5, the Securities and Exchange Commission published new...
[32669] August 11, 2020 TO: ICI Members Tax Committee SUBJECTS: Fund Accounting & Financial Reporting State Issues Tax RE: ICI Opposition Letter - NY Stock Transfer Tax Proposal The ICI submitted the attached letter opposing a proposal (also attached) to reduce the NY stocker transfer...
[32667] August 11, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: IRS Publishes Updated Safe Harbor 402(f) Notices for Eligible Rollover Distributions The Internal Revenue Service (IRS) has published Notice 2020-62, [1] containing...
[32665] August 7, 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...
[32666] August 7, 2020 TO: ICI Global Members ESG Task Force (Global) ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure ESG International/Global Investment Advisers Portfolio Oversight Risk Oversight RE: Final Response to Monetary Authority of Singapore's (MAS)...
[32663] August 6, 2020 TO: LIBOR Transition Working Group RE: LIBOR Transition Working Group: Register for September Call The next working group call will take place on Wednesday, September 2nd, from 1-2 pm ET. Please register for this call through the Cvent link: www.ici.org/reg...
[32664] August 6, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee SUBJECTS: Compliance Derivatives International/Global Investment...
[32661] August 6, 2020 TO: ICI Members Tax Committee SUBJECTS: Tax RE: Proposed Regulations Permitting RICs to Pay Section 163(j) Interest Dividends The Treasury Department and the Internal Revenue Service (IRS) have released proposed regulations that would permit regulated investment...
[32662] August 6, 2020 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Registration and Agenda for August 18 Tax Committee Call Attached is the agenda for the upcoming Tax Committee call, scheduled for August 18, 2020, at 11:00 a.m. ET. Please...
[32660] August 5, 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...
[32657] August 5, 2020 TO: ICI Members Tax Committee SUBJECTS: Tax RE: IRS Issues Final Regulations on Section 163(j) Limitation on Interest Expense Deduction The Treasury Department and the Internal Revenue Service (IRS) have issued final regulations regarding the limitation on the...
[32658] August 5, 2020 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee...
[32659] August 5, 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 Committee...
[32656] August 4, 2020 TO: ICI Members ICI Global Members Tax Committee SUBJECTS: Tax RE: ICI Submits Recommendations for 2020-2021 Treasury/IRS Priority Guidance Plan Notice 2020-47 invited public comment on recommendations for Treasury’s 2020-2021 Priority Guidance Plan. The ICI...
[32653] August 3, 2020 TO: Chief Compliance Officer Committee RE: Change in CCO Committee Leadership I am pleased to announce that, effective August 1st, Katie Primas, the CCO of Dodge & Cox, has become the new chair of ICI’s CCO Committee. Katie had previously served as the committee...
[32654] August 3, 2020 TO: Internal Sales Managers Roundtable RE: Registration Now Open: September 2, 2020 Virtual Internal Sales Managers Roundtable Meeting ICI’s Internal Sales Managers Roundtable will have a videoconference meeting via Zoom on Wednesday, September 2, from 3:00 to 4...
[32655] August 3, 2020 TO: EU ESG Disclosure Regulation Working Group RE: FOR REVIEW: First Draft of SFDR RTS Consultation Response Attached for your review is our first draft of responses to the European Supervisory Authorities’ (ESAs) consultation [1] on proposed regulatory...
[32652] July 31, 2020 TO: ICI Members Investment Company Directors ESG Task Force (Global) ESG Working Group (US) Pension Committee Pension Operations Advisory Committee SUBJECTS: ESG Pension RE: ICI Submits Comment Letter in Response to DOL Proposal on ESG Investments The Institute...
[32650] July 31, 2020 TO: ESG Task Force (Global) ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia RE: Asia ESG: HK Soft Consultation on Climate-Related Risks The Hong Kong Securities and Futures Commission (SFC) has launched a soft consultation on...
