[32424] April 28, 2020 TO: ICI Global Members ICI Global Investing Subcommittee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Distribution International/Global Investment Advisers Operations RE: China Launched Consultation on New Investment...
[32420] April 27, 2020 TO: ICI Members Variable Insurance Products Advisory Committee SUBJECTS: Disclosure Variable Insurance Products RE: SEC Staff Guidance on Discontinued Variable Insurance Product Contracts On April 22, 2020, the staff of the SEC Division of Investment Management...
[32419] April 27, 2020 TO: Accounting/Treasurers Committee SEC Rules Committee Security Valuation Operations Committee Small Funds Committee RE: ICI Call to Discuss SEC's Fair Valuation Proposal: May 7 at 2:00 pm ET On April 21, the SEC proposed new Rule 2a-5 under the Investment...
[32421] April 27, 2020 TO: ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: EU MiFID II/MiFIR Consultation - Seeking Feedback on Research Unbundling/SME Questions As we previously informed you, on February...
[32418] April 27, 2020 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting RE: SEC Adopts Closed-End Fund Offering Reform Rules; SEC Staff Withdraws...
[32416] April 24, 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...
[32415] April 24, 2020 TO: ICI Members SUBJECTS: Audit Committees Compliance Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Money Market Funds Variable Insurance Products RE: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group The SEC announced today that it...
[32412] April 24, 2020 TO: Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee RE: CFTC to Hold Meeting of Global Markets Advisory Committee on May 19 The Global Markets Advisory Committee (GMAC) of the Commodity Futures Trading Commission is scheduled to...
[32413] April 24, 2020 TO: ICI Global Members Chief Compliance Officer Committee International Compliance Advisory Committee SUBJECTS: Compliance International/Global Operations RE: COVID 19 - UK FCA's Expectations for Wet-Ink Signatures In light of COVID-19 restrictions, the UK...
[32414] April 24, 2020 TO: Disclosure Working Group RE: May 4 Disclosure Working Group Call: Agenda Items Requested We will be having our next working group call on Monday, May 4 at 3:00 pm. The call information is below: Dial In: 253-617-4981 Meeting ID: 654263040 To facilitate...
[32406] April 23, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure Operations Variable Insurance Products RE: SEC Extends EDGAR Filing Window on April 29 The Division of Investment Management recently announced that it will extend the EDGAR filing window on April 29, 2020, from 5...
[32407] April 23, 2020 TO: Tax Advisory Committee RE: Agenda for April 30 Call at 3:00 p.m. ET (Note New Time) Attached is the agenda for the upcoming Tax Advisory Committee call, scheduled for April 30, 2020, at 3:00 p.m. ET (please note the new time). You can join the Skype call...
[32409] April 23, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Transfer Agency Unit...
[32410] April 23, 2020 TO: ICI Global Members ESG Task Force ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESMA Issues Consultation on Draft...
[32408] April 23, 2020 TO: Equity Markets Advisory Committee RE: ICI Draft Comment Letter on SEC Proposed Market Data Infrastructure Rule As we previously informed you, the Commission published for comment a proposed rule to expand the national market system (“NMS”) market data...
[32411] April 23, 2020 TO: ICI Members ICI Global Members SUBJECTS: Disclosure International/Global RE: SEC Statement on Emerging Market Investments On April 21, 2020, Securities and Exchange Commission (SEC) Chairman Jay Clayton, together with a number of other SEC leaders, issued a...
[32405] April 22, 2020 TO: ICI Members RE: Informational Call on the Payroll Protection Program (PPP) to Qualifying Small Businesses Under the Coronavirus Aid, Relief, and Economic Security Act (CARES Act), the US Small Business Administration (SBA) was authorized to provide...
[32404] April 22, 2020 TO: ICI Global Members SUBJECTS: Compliance International/Global Technology & Business Continuity RE: COVID 19 - Central Bank of Ireland's Measures for Asset Managers Recognising the challenges facing firms and market participants during this COVID 19 health...
[32401] April 21, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee RE: COVID 19 - Central Bank of Ireland's Measures for Asset Managers Recognising...
[32402] April 21, 2020 TO: SEC Rules Committee RE: Reminder - April 23 Special Call of the SEC Rules Committee - Agenda Attached On Thursday, April 23rd, from 1-3 pm ET, the SEC Rules Committee will hold a members-only conference call to discuss COVID-19 related developments affecting...
[32403] April 21, 2020 TO: Accounting/Treasurers Committee Disclosure Working Group ESG Task Force SEC Rules Committee Small Funds Committee RE: Institute Draft Comment Letter on Names Rule Request for Comment On March 2, the Securities and Exchange Commission published a release...
[32400] April 20, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Fund Governance RE: IDC Files Comment Letter on SEC's Proposed Rule on Funds' Use of Derivatives IDC has submitted a comment letter [1] on the SEC’s re-proposed derivatives rule. [2] The re-proposal...
[32399] April 20, 2020 TO: ICI Members ICI Global Members ICI Global Regulated Funds Committee ICI Global Tax Committee Tax Committee SUBJECTS: Fund Accounting & Financial Reporting International/Global Tax RE: Coalition Letter to the European Commission and OECD on COVID-19-Related...
