[32476] May 21, 2020 TO: ESG Task Force ICI Global Regulated Funds Committee RE: Inaugural Meeting for Working Groups on EU ESG Disclosure and Sustainable Finance Consultations: 2 June, 16:00 (BST)/11:00 (EST) The first meeting of both Working Groups will take place on 2 June, 16:00...
[32475] May 21, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure RE: SEC Staff Updates FAQs Related to COVID-19 The staff of the SEC’s Division of Investment Management recently updated its frequently asked questions concerning the COVID-19 crisis. [1] Since the staff initially...
[32471] May 20, 2020 TO: Chief Information Security Officer Committee Equity Markets Advisory Committee Technology Committee RE: SEC Adopts Amendments to CAT NMS Plan to Require Implementation Plan and Financial Accountability The SEC recently adopted amendments to the national market...
[32473] May 20, 2020 TO: ESG Task Force ICI Global Regulated Funds Committee RE: EU Disclosure Regulation: ESAs Push for Delay of Compliance Date The compressed implementation timeline for the EU Disclosure Regulation has been an ongoing concern, and we wanted to update you with a...
[32472] May 20, 2020 TO: ESG Task Force ICI Global Regulated Funds Committee RE: Draft EU NFRD Consultation Response; Comments Requested by 29 May Attached for your review is our draft response to the European Commission’s consultation on ESG-related disclosure for corporate issuers...
[32470] May 20, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Save the Date: Annual AML Compliance Working Group Meeting, September 22 In lieu of our annual in-person AML Compliance Working Group meeting, we will be holding a virtual meeting on Tuesday...
[32468] May 19, 2020 TO: Small Funds Committee RE: Registration Open - June 9, 2020 Regulatory Update The next Small Funds Committee meeting will take place on Tuesday, June 9th, 1:00 p.m. to 2:00 p.m. ET, the session will be facilitated using Microsoft Teams. Committee members are...
[32467] May 19, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: ICI Sends Letter to Treasury Regarding Guidance on 403(b) Termination Under SECURE Act ICI (jointly with the American Retirement Association (ARA)) sent the attached...
[32466] May 19, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: EBA Publishes Draft...
[32461] May 18, 2020 TO: Accounting Policy Subcommittee RE: Accounting Policy Subcommittee Meeting - June 15, 16 & 17, 2020 Due to COVID-19 concerns, we have changed our upcoming in-person Accounting Policy Subcommittee meeting originally scheduled for June 17 to a videoconference...
[32465] May 18, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: China Issued Consultation to Allow Foreign Banks to be Fund Custodians On 9 May 2020, the China Securities Regulatory Commission...
[32464] May 15, 2020 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Fund Governance Operations Portfolio Oversight Risk Oversight Systemic Risk RE: Update on SEC COVID-19 Market Monitoring Group Initiatives On May 13, 2020, SEC Chairman Jay Clayton and Chief...
[32463] May 15, 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...
[32458] May 14, 2020 TO: Diversity and Inclusion Working Group RE: Agenda for ICI's Diversity and Inclusion Working Group Zoom Meeting-June 18, 2020 ICI’s Diversity and Inclusion Working Group will have a videoconference meeting via Zoom on Thursday, June 18, 2020, at 2:00 p.m. ET...
[32456] May 13, 2020 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda for Tax Committee Call -- Wednesday, May 20 at 11:00 AM ET Attached is the agenda for the upcoming Tax Committee call, scheduled for May 20, 2020, at 11:00 a.m. ET. You can...
[32457] May 13, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Operations Transfer Agency Variable Insurance Products RE: Important Information Regarding ICI Involvement with Third-Party...
[32455] May 12, 2020 TO: ICI Global Regulated Funds Committee RE: Meeting Materials for ICI Global Regulated Funds Committee Meeting (Telephonic) for Asia-Based Members on 14 May Please see the following link to the electronic materials (including the agenda and attendee list) for the...
[32454] May 12, 2020 TO: Derivatives Markets Advisory Committee RE: Revised Draft ICI Comment Letter on CFTC Swap Data Reporting Proposals-Your Final Comments Requested by Monday, May 18th On April 1st, we sent you a draft comment letter on the Commodity Futures Trading Commission’s...
[32453] May 11, 2020 TO: ICI Members SUBJECTS: Trading and Markets RE: SEC Issues Final Order to Reform NMS Equity Data Plan Governance We are pleased to report that the SEC voted unanimously to issue a final order directing the SROs—the equity exchanges and FINRA—to submit a new...
[32451] May 11, 2020 TO: Global Operations Advisory Committee ICI Global Brexit Task Force ICI Global Regulated Funds Committee RE: ICI Global High-Level Comment Letter on UK's Overseas Funds Regime On 11 March 2020, the UK Treasury published a consultation [1] on the UK’s Overseas...
[32452] May 11, 2020 TO: ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee RE: Formation of Working Groups to Respond to EU ESG Consultations on Sustainable Finance Strategy and Disclosure Reg RTS As we discussed on our call last...
[32450] May 8, 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 RE...
[32447] May 7, 2020 TO: Derivatives Markets Advisory Committee Equity Markets Advisory Committee RE: ICI Global's Draft MiFID II Response to the European Commission - Member Comments Requested by 11 May 2020 As previously advised, [1] on 17 February 2020 the European Commission issued...
