[32498] May 29, 2020 TO: ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee RE: Agenda and Materials for Call on EU ESG Disclosure and Sustainable Finance Consultations - 2 June, 16:00 BST/11:00 EDT Please note that we circulated the...
[32494] May 29, 2020 TO: Equity Markets Advisory Committee Fixed-Income Advisory Committee RE: SEC Fixed Income Market Structure Advisory Committee Meeting Scheduled for Monday, June 1, 2020 The Securities and Exchange Commission Fixed Income Market Structure Advisory Committee...
[32496] May 29, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension Tax RE: IRS Updates COVID-19 Tax Filing and Deadline Relief - Form 5498 Deadline Extended In Notice 2020-35, the IRS provides a limited expansion of the tax filing and...
[32495] May 29, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Distribution Operations Recordkeeping Settlement RE: ICI Operations White Papers...
[32489] May 29, 2020 TO: ICI Members Investment Company Directors SEC Rules Committee RE: Executive Order on Regulatory Relief to Support Economic Recovery On May 19, President Trump signed an executive order (“Order”) entitled “Regulatory Relief to Support Economic Recovery.” [1] The...
[32499] May 29, 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...
[32497] May 29, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: CFTC Approves Interim Final Rule Deferring Phase 5...
[32487] May 28, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance RE: SEC Staff Permits Funds to Opt in to State Control Share Acquisition Statutes On May 27, 2020, the Securities and Exchange Commission’s Division of Investment Management issued...
[32490] May 28, 2020 TO: ICI Members SUBJECTS: Alternative Investments Closed-End Funds Fixed Income Securities Investment Advisers Portfolio Oversight Systemic Risk Trading and Markets RE: SEC Staff Issues No-Action Relief Related to Registered Fund Participation in the Federal...
[32493] May 28, 2020 TO: ICI Global Members ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: Consolidated...
[32488] May 28, 2020 TO: ICI Members SUBJECTS: Transfer Agency RE: SEC Extends COVID-19-Related Exemptive Relief for Transfer Agents Through June 30, 2020 On May 27, the SEC announced an extension of the temporary conditional regulatory relief for registered transfer agents and other...
[32492] May 28, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Proposes Regulation on Default Withholding for Periodic Payments from Retirement Plans and Annuities The...
[32491] May 28, 2020 TO: ICI Global Members ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: Consolidated...
[32462] May 27, 2020 TO: Accounting/Treasurers Committee Independent Accountants Advisory Group RE: Accounting/Treasurers Committee Meeting - June 18 Due to COVID-19 concerns, we have changed our upcoming in-person Accounting/Treasurers Committee meeting scheduled for June 18 to a...
[32486] May 27, 2020 TO: ICI Members SUBJECTS: Trading and Markets RE: ICI Comment Letter on SEC Proposed Market Data Infrastructure Rule The Commission published for comment a proposed rule to expand the national market system (“NMS”) market data content and replace the exclusive...
[32485] May 27, 2020 TO: Accounting/Treasurers Committee LIBOR Transition Working Group SEC Rules Committee Security Valuation Operations Committee RE: LIBOR Update: ARRC Best Practices and US Treasury Department Request for Comment on SOFR-Indexed Floating Rate Notes We wanted to...
[32484] May 26, 2020 TO: ESG Task Force ICI Global Regulated Funds Committee RE: EU Disclosure Regulation: Adverse Sustainability Impact Disclosure - Preliminary Analysis of the 500 Employee Threshold Requirement The EU Disclosure Regulation [1] mandates website disclosure of...
[32480] May 22, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Investment Advisers Trading and Markets RE: ICI Files Comment Letter with CFTC on Swap Data Reporting Proposals On May 22nd, ICI filed a comment letter with the Commodity Futures Trading...
[32481] May 22, 2020 TO: Derivatives Markets Advisory Committee RE: CFTC Proposes Amendments to Part 190 Bankruptcy Regulations - ICI Member Call June 3 On April 14th, the CFTC unanimously approved proposed amendments to its Part 190 bankruptcy regulations. [1] The CFTC’s proposal...
[32482] May 22, 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...
[32479] May 22, 2020 TO: Pension Committee Pension Operations Advisory Committee RE: ICI Joint Pension and Pension Operations Advisory Committees Conference Call--Tuesday, June 2, 2020 at 3:00 PM EDT The next joint conference call of the ICI Pension and Pension Operations Advisory...
[32477] May 21, 2020 TO: ICI Global Regulated Funds Committee RE: Call for Asia-based Members of ICI Global Regulated Funds Committee on 9 June: Global Implications of New EU ESG Requirements We will have a call on Tuesday, 9 June from 9.00-10.00 a.m. HKT to provide a high-level...
[32478] May 21, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: DOL Finalizes New Safe Harbor for Electronic Delivery of ERISA Disclosures Today, the Department of Labor (DOL) published a final rule on electronic delivery for ERISA...
