[32549] June 24, 2020 TO: Global Advocacy Coordination Advisory Committee Global Operations Advisory Committee ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee International Compliance Advisory Committee International Internal Audit Advisory...
[32553] June 24, 2020 TO: Derivatives Markets Advisory Committee RE: ICI Draft Comment Letter to CFTC on Proposed Amendments to Part 190 Bankruptcy Regulations - Your Comments Requested by July 2 On April 14th, the Commodity Futures Trading Commission (CFTC or “Commission”)...
[32554] June 24, 2020 TO: ICI Members Tax Committee SUBJECTS: Tax RE: IRS Finalizes Regulations Permitting RICs to Pass Through Deduction for Qualified REIT Dividends The Internal Revenue Service (IRS) and the Treasury Department have finalized regulations permitting regulated...
[32548] June 23, 2020 TO: Broker/Dealer Advisory Committee RE: Registration Now Open-Broker/Dealer Advisory Committee Meeting - July 14-16, 2020 The Investment Company Institute’s Broker/Dealer Advisory Committee will meet virtually July 14-16, 2020 in four 90-minute online sessions...
[32547] June 23, 2020 TO: ICI Members ESG Task Force Pension Committee Pension Operations Advisory Committee SUBJECTS: ESG Pension RE: DOL Focus on ESG Investments in Retirement Plans Recent activities by the Department of Labor (DOL) suggest an increased interest in issues related to...
[32546] June 22, 2020 TO: Global Operations Advisory Committee ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee RE: ESMA Consultation on the Publication of Fund Marketing Requirements and Regulatory Levies: Draft ICI Global Response On 31 March 2020...
[32545] June 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Operations Committee Pension Committee Pension Operations...
[32544] June 22, 2020 TO: Accounting/Treasurers Committee LIBOR Transition Working Group SEC Rules Committee Security Valuation Operations Committee RE: LIBOR Update: Draft Letter on Treasury Request for Comment on SOFR-Indexed Floating Rate Notes; Member Feedback Requested by June 30...
[32543] June 22, 2020 TO: ICI Members Investment Company Directors SUBJECTS: COVID-19 Fund Governance RE: SEC Extends Temporary Relief from In-Person Fund Board Meeting Requirement We are pleased to report that the SEC has issued an exemptive order extending the temporary relief from...
[32537] June 18, 2020 TO: Equity Markets Advisory Committee RE: SEC Denies Nasdaq's Motion to Stay NMS Governance Final Order On June 12, the SEC issued an order denying Nasdaq’s motion to stay the final order to reform National Market System (NMS) governance pending resolution of its...
[32534] June 18, 2020 TO: Transfer Agent Advisory Committee RE: Registration Now Open for ICI's July 15-16, 2020 Transfer Agent Advisory Committee Virtual Meeting ICI’s Transfer Agent Advisory Committee will hold a video conference meeting via Zoom on Wednesday, July 15, from 2:30 to...
[32539] June 18, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: DOL Request for Information on Pooled Employer Plans and other MEPs The Department of Labor (DOL) has published a Request for Information (RFI) on “Prohibited...
[32541] June 18, 2020 TO: ESG Task Force RE: EU ESG Disclosure Regulation WG: Agenda and Materials for 23 June Call Our next call to discuss our response to the European Supervisory Authorities (ESAs) consultation [1] on the Disclosure Regulation regulatory technical standards (RTS)...
[32542] June 18, 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...
[32538] June 18, 2020 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda for June 30 Tax Committee Meeting The Tax Committee will hold a virtual meeting on Tuesday, June 30, 2020, at 2:00 p.m. ET. The agenda for the meeting is attached...
[32536] June 17, 2020 TO: ICI Members Equity Markets Advisory Committee SUBJECTS: Litigation & Enforcement Trading and Markets RE: DC Circuit Court of Appeals Invalidates SEC's Transaction Fee Pilot Program On June 16, the U.S. Court of Appeals for the D.C. Circuit issued an opinion...
[32535] June 17, 2020 TO: Equity Markets Advisory Committee RE: SEC Chairman and Division of Trading and Markets Director to Speak on Market Structure SEC Chairman Jay Clayton and Division of Trading and Markets Director Brett Redfearn will be holding a discussion on market structure...
[32530] June 16, 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...
[32529] June 16, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: ICI Submits Comments on CFTC Proposal to Revise Form CPO-PQR As...
[32531] June 16, 2020 TO: ICI Global Members ICI Global Regulated Funds Committee SUBJECTS: Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V Pension Trading and Markets RE: High-Level Forum on the EU Capital Markets Union Publishes Final...
[32533] June 16, 2020 TO: Equity Markets Advisory Committee RE: D.C. Circuit Court of Appeals Invalidates SEC's Transaction Fee Pilot Program Earlier today, the U.S. Court of Appeals for the D.C. Circuit issued an opinion invalidating the SEC’s Transaction Fee Pilot Program. We are...
[32527] June 15, 2020 TO: SEC Rules Committee RE: June 24 Virtual Meeting of SEC Rules Committee - Draft Agenda Attached On Wednesday, June 24th, from 1-3:30 pm ET, ICI will hold a virtual meeting of the SEC Rules Committee. We are pleased to have as guest speakers Dalia Blass...
[32528] June 15, 2020 TO: ICI Members ESG Task Force SEC Rules Committee SUBJECTS: Disclosure Investment Advisers RE: SEC Chairman to Speak on "Long-Term Investing, Sustainability, and the Role of Disclosures" SEC Chairman Jay Clayton will be providing his views in an informal...
[32525] June 12, 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...
