[32581] July 6, 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 Advisory...
[32577] July 2, 2020 TO: Derivatives Markets Advisory Committee RE: CFTC Proposes Electronic Trading Risk Principles for Designated Contract Markets On June 25, 2020, the Commodity Futures Trading Commission (CFTC or “Commission”) voted to formally withdraw its outstanding proposals...
[32575] July 2, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Disclosure Investment Advisers Trading and Markets RE: CFTC Adopts Final Rule Prohibiting Post-Trade Name Give-Up on Swap Execution Facilities On June 25, 2020, the Commodity Futures...
[32579] July 2, 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...
[32576] July 2, 2020 TO: ICI Members ICI Global Members SUBJECTS: International/Global RE: Understanding Japan's New Foreign Investment Laws: Webinar Recording Now Available On June 23, 2020, ICI Global, the American Chamber of Commerce in Japan, and the US Commercial Service (Japan)...
[32570] July 2, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension Tax RE: IRS Provides Guidance on Mid-Year Reductions and Suspensions of Employer Contributions in Safe Harbor 401(k) Plans, Including Relief Due to COVID-19 IRS recently...
[32568] July 1, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Operations Transfer Agency RE: SEC Spring Regulatory Agenda The Office of Management and Budget released the regulatory agendas...
[32573] July 1, 2020 TO: LIBOR Transition Working Group RE: LIBOR Transition Working Group: Register for the Next Working Group Call The next call of our working group will take place on Wednesday, August 5th, from 1-2 pm ET. We expect to have David Bowman of the ARRC join us for the...
[32572] July 1, 2020 TO: ICI Global Members ICI Global Regulated Funds Committee SUBJECTS: MiFID, EMIR, AIFMD, UCITS V RE: European Banking Authority Issues Consultation Papers on Draft Technical Standards on Implementation of the Investment Firms Review In early June, the European...
[32566] June 29, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment Closed-End Funds Compliance COVID-19 Disclosure Fund Accounting & Financial Reporting Fund Governance International/Global Operations Technology & Business Continuity Transfer Agency Variable Insurance...
[32567] June 29, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment COVID-19 Transfer Agency RE: Updated SEC Relief for Transfer Agents; Newly Issued Relief Related to Temporary International Mail Service Suspensions The Commission and staff recently provided several...
[32565] June 29, 2020 TO: ICI Members Investment Company Directors ICI Global Members Bank-Affiliated Member Advisory Committee ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Bank Regulation Financial Stability International/Global RE: US Agencies Adopt Final...
[32564] June 29, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group...
[32563] June 29, 2020 TO: ESG Task Force EU ESG Disclosure Regulation Working Group EU Sustainable Finance Strategy Working Group ICI Global Regulated Funds Committee RE: FOR REVIEW by Wednesday: Draft Responses to EU Consultations on Draft ESG-Related Amendments to UCITS/MiFID II...
[32559] June 26, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: Update on FDIC and...
[32557] June 26, 2020 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Investment Advisers Committee SEC Rules Committee Security Valuation Operations Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Fair Value Proposal-Comment Due by July 7...
[32560] June 26, 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...
[32555] June 26, 2020 TO: ICI Global Retirement Savings Committee RE: US DOL Issues Proposal on ESG Investments in Retirement Plans The US Department of Labor (DOL) has issued a proposed rule intended to clarify its stance on selecting environmental, social and governance (ESG)...
[32556] June 26, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension Tax RE: IRS Provides Guidance on CARES Act Distributions, Loans, and RMD Suspension In Notices 2020-50 [1] and 2020-51, [2] the IRS and Treasury provide detailed guidance on...
[32558] June 26, 2020 TO: Tax Committee RE: Draft Recommendations for 2020-2021 Treasury/IRS Priority Guidance Plan - Comments Requested Notice 2020-47 invites public comment on recommendations for Treasury’s 2020-2021 Priority Guidance Plan. The requests for guidance in this letter...
[32551] June 24, 2020 TO: ICI Global Members ESG Task Force EU ESG Disclosure Regulation Working Group EU Sustainable Finance Strategy Working Group ICI Global Regulated Funds Committee SUBJECTS: Disclosure ESG International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE...
[32550] June 24, 2020 TO: ICI Members Management Company Tax Subcommittee Tax Committee SUBJECTS: Investment Advisers Tax RE: Opposition Letter: California "Headcount" Tax Proposal The ICI joined a coalition letter organized by CalTax to oppose a proposed new “headcount” tax on...
[32552] June 24, 2020 TO: ICI Members ESG Task Force Pension Committee Pension Operations Advisory Committee SUBJECTS: ESG Pension RE: DOL Issues Proposal on ESG Investments in Retirement Plans The Department of Labor (DOL) has issued a proposed rule intended to clarify its stance on...
