[32520] June 11, 2020 TO: Security Valuation Operations Committee RE: Summary of SEC's Fixed Income Market Structure Advisory Committee Meeting The SEC’s Fixed Income Market Structure Advisory Committee (FIMSAC) held a virtual meeting on June 1, 2020 [1] and adopted recommendations...
[32521] June 11, 2020 TO: Internal Sales Managers Roundtable RE: Registration Now Open: July 15, 2020 Virtual Internal Sales Managers Roundtable Meeting ICI’s Internal Sales Managers Roundtable will have a videoconference meeting via Zoom on Wednesday, July 15, from 3:30 to 4:15 p.m...
[32524] June 11, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Final Response to EU NFRD Consultation on ESG Disclosure for Corporate Issuers...
[32522] June 11, 2020 TO: ESG Task Force RE: EU Sustainable Finance Strategy WG: Materials for 16 June Call For discussion on our call on Tuesday, 16 June (11:00-12:30 EDT / 4:00-5:30 BST), attached is a draft topline response to the European Commission’s consultation on phase two of...
[32523] June 11, 2020 TO: Variable Insurance Products Advisory Committee RE: Reminder and Agenda - June 23 Virtual Meeting On Tuesday, June 23rd, from 12:00-2:30 pm ET, ICI will hold a virtual meeting of the Variable Insurance Product Advisory Committee. We are pleased to have as...
[32517] June 10, 2020 TO: Equity Markets Advisory Committee Fixed-Income Advisory Committee RE: Summary of SEC's Fixed Income Market Structure Advisory Committee Meeting The SEC’s Fixed Income Market Structure Advisory Committee (FIMSAC) held a virtual meeting on June 1, 2020 [1] and...
[32515] June 10, 2020 TO: Small Funds Committee RE: Registration Open - July 15, SEC Small Funds Roundtable ICI will be hosting a small funds committee roundtable with the SEC Division of Investment Management, Wednesday, July 15th from 1:00 p.m. to 2:00 p.m. ET. If you have questions...
[32518] June 10, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: IRS Announces Issuance of Opinion Letters and Next Steps for Adopters of Pre-Approved DC Plans In Announcement 2020-7, [1] the IRS indicates that it will soon issue...
[32516] June 10, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Upcoming Public Hearing on EU ESG Disclosure Regulation RTS In case...
[32519] June 10, 2020 TO: Research Committee RE: June 17 ICI Research Committee Video Meeting ICI Research Committee Video Meeting: June 17, 2020, 11:00 AM (ET) to 2:00 PM (ET) The ICI Research Committee will be having a video meeting to update committee members on recent policy...
[32514] June 9, 2020 TO: SEC Rules Committee RE: Reminder - June 24 Virtual Meeting of SEC Rules Committee 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, Director, and Sarah...
[32512] June 5, 2020 TO: ICI Global Regulated Funds Committee RE: Materials Attached for Call for Asia-Based Members of ICI Global Regulated Funds Committee on 9 June: Global Implications of New EU ESG Requirements Attached are the following materials for our call on Tuesday, 9 June...
[32511] June 5, 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...
[32513] June 5, 2020 TO: Equity Markets Advisory Committee RE: Nasdaq Petitions DC Circuit Court of Appeals to Review SEC's NMS Governance Final Order and Motion for Stay with SEC On June 1, Nasdaq filed a petition with the U.S. Court of Appeals for the DC Circuit requesting a review...
[32509] June 5, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fixed Income Securities Fund Governance RE: SEC Asset Management Advisory Committee: Highlights from the May 27, 2020 Meeting The SEC’s Asset Management Advisory Committee (AMAC) held a...
[32510] June 5, 2020 TO: Registered Fund CPO Advisory Committee RE: Draft Letter on CFTC Proposal to Revise Form CPO-PQR; Member Comments Requested by June 11 As we previously informed you, the Commodity Futures Trading Commission has issued a proposal that would modify the periodic...
[32508] June 4, 2020 TO: Derivatives Markets Advisory Committee RE: June 10 - Continuation of ICI Member Call on CFTC Proposed Amendments to Part 190 Bankruptcy Regulations ICI’s Derivatives Markets Advisory Committee recently held a member call to discuss potential ICI comments on...
[32507] June 3, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: IRS Permits Remote Notarization and Witnessing of Benefit Plan Elections During COVID-19 Pandemic In Notice 2020-42, [1] the IRS provides temporary relief from the...
[32506] June 3, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: DOL Guidance on Private Equity Investments within 401(k) and Other Defined Contribution Plans On June 3, 2020, the Department of Labor (the “Department”) issued an...
[32505] June 3, 2020 TO: Registered Fund CPO Advisory Committee RE: NFA Notice to Members on Changes to Self-Examination Questionnaire NFA has published a Notice to Members (NTM) regarding recent changes to its self-examination questionnaire. [1] NFA recently revised the questionnaire...
[32503] June 2, 2020 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: June 30 Tax Committee Meeting - 2:00 p.m. ET The next meeting of the Tax Committee will take place on Tuesday, June 30, 2020, at 2:00 p.m. ET. Because the in-person meeting has been...
[32504] June 2, 2020 TO: ESG Task Force ICI Global Regulated Funds Committee RE: EU ESG Working Groups: Member List and Revised Project Timeline for Consultation Responses As follow-up on our initial joint call [1] of the EU Sustainable Finance Working Group and EU ESG Disclosure Reg...
[32502] June 2, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds RE: SEC Staff Provides No-Action Relief for Closed-End Fund to Exclude Shareholder Proposals that Proponents' Shares Cannot Vote On The Securities and Exchange Commission’s Division of...
[32500] June 1, 2020 TO: ICI Global Regulated Funds Committee Registered Fund CPO Advisory Committee RE: CFTC Proposes to Amend Conditions of Exemption for Non-US CPOs On May 28, the Commodity Futures Trading Commission (CFTC or “Commission”), in a unanimous vote, proposed to amend...
[32501] June 1, 2020 TO: ICI Members SUBJECTS: Disclosure Fund Accounting & Financial Reporting RE: SEC Adopts Rule and Form Amendments Revising Financial Disclosures for Fund Acquisitions The Securities and Exchange Commission recently adopted rule and form amendments designed to...
