[32649] July 31, 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 Trading & Markets Committee SEC Rules Committee...
[32651] July 31, 2020 TO: EU ESG Disclosure Regulation Working Group RE: 29 July Meeting with ESMA on Disclosure Regulation RTS Consultation We spoke with Patrik Karlsson at ESMA on 29 July about the ESAs’ consultation on the regulatory technical standards (RTS) for the sustainable...
[32648] July 30, 2020 TO: ESG Task Force (Global) ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia RE: ICI Global Draft Response to Singapore Consultation on "Guidelines on Environment Risk Management" for Asset Managers Attached for your review is our...
[32643] July 29, 2020 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Tax Committee Call -- Tuesday, August 18 at 11:00 AM ET The next Tax Committee monthly conference call will be on Tuesday, August 18, 2020 at 11:00 a.m. (Eastern). Please register...
[32646] July 29, 2020 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Disclosure Working Group Fixed...
[32644] July 29, 2020 TO: ICI Global Members Global Operations Advisory Committee ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee SUBJECTS: International/Global RE: ESMA Consultation on the Publication of Fund Marketing Requirements and Regulatory...
[32639] July 28, 2020 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: European Union Benchmark Regulation Proposal We wanted to alert you to recent developments from the European Commission in the...
[32642] July 28, 2020 TO: ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: European Commission Publishes MiFID and Prospectus Regulation Quick Fixes; Consultation on Investment Research Changes Overview On July 24, the European Commission (Commission)...
[32641] July 28, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Registration Now Open for ICI's September 22, 2020 AML Compliance Working Group Virtual Meeting ICI’s AML Compliance Working Group will hold a videoconference meeting via Zoom on Tuesday...
[32640] July 28, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory...
[32638] July 27, 2020 TO: EU ESG Disclosure Regulation Working Group Global Advocacy Coordination Advisory Committee RE: Meetings with ESMA and EIOPA on Disclosure Regulation RTS Consultation We are speaking with Patrik Karlsson at the European Securities and Markets Authority (ESMA)...
[32637] July 24, 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 Trading & Markets Committee SEC Rules Committee...
[32636] July 24, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Adopts Proxy Advice Rule Amendments and Supplemental Guidance for Investment Advisers On...
[32635] July 24, 2020 TO: ICI Members ESG Task Force (Global) ESG Working Group (US) SEC Rules Committee SUBJECTS: Advertising Disclosure ESG Fund Governance Investment Advisers Unit Investment Trusts (UITs) Variable Insurance Products RE: ICI Board of Governors Urges ICI Members to...
[32630] July 22, 2020 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: COVID-19 Financial Stability Money Market Funds Operations Portfolio Oversight Risk Oversight RE: COVID-19 and Financial Stability...
[32629] July 22, 2020 TO: Small Funds Committee RE: Small Funds - Shop Talk, 1:00 p.m. to 2:30 p.m. ET, July 29, 2020 The next meeting of the Investment Company Institute’s Small Funds Committee will be held on Wednesday, July 29, 1:00 to 2:30 p.m. ET. This meeting will focus on shop...
[32627] July 22, 2020 TO: Derivatives Markets Advisory Committee Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: FSB Consultation on CCP Resolution: Draft ICI Global Letter - Member Input Requested by...
[32628] July 22, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: ICI Letter to Treasury/IRS Recommending Retirement Plan Items for Priority Guidance Plan ICI submitted the attached letter requesting that the Treasury Department and...
[32625] July 21, 2020 TO: ICI MembersESG Task Force (Global) ESG Working Group (US) Pension Committee Pension Operations Advisory Committee SUBJECTS: ESG Pension RE: Joint Trade Group Sends Letter to DOL Requesting Extension of Comment Period on ESG Proposal The Institute, along with...
[32626] July 21, 2020 TO: EU ESG Disclosure Regulation Working Group RE: Member Survey on SFDR RTS "Adverse Impact" Indicators As discussed on our last WG call, we are sending you a survey (via SurveyMonkey) to facilitate our response to the European Supervisory Authorities’ (ESAs)...
[32622] July 20, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: ICI Letter Responding to DOL Request for Information on Pooled Employer Plans The Institute sent the attached comment letter to the Department of Labor (DOL), in...
[32618] July 20, 2020 TO: EU ESG Disclosure Regulation Working Group Global Advocacy Coordination Advisory Committee RE: 17 July Meeting with CSSF on Disclosure Regulation We met with the Commission de Surveillance du Secteur Financier (CSSF) last Friday, 17 July, to discuss the...
[32611] July 17, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Bank Regulation Compliance International/Global Operations Recordkeeping RE: China Published Amended Fund Custody Rules to Allow Foreign Banks to be Fund Custodians...
