[32396] April 17, 2020 TO: ICI Members SUBJECTS: Advisory Contract Renewal Audit Committees Closed-End Funds Compliance Disclosure RE: SEC Staff Issues FAQs Related to COVID-19 The staff of the Securities and Exchange Commission’s Division of Investment Management (“IM”) recently...
[32397] April 17, 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...
[32394] April 16, 2020 TO: ICI Members ICI Global Members ICI Global Tax Committee Tax Committee SUBJECTS: International/Global Tax RE: CIV Industry Coalition Letter on COVID-19-Related Tax Relief Challenges Ten fund industry associations [1] today submitted the attached letter to the...
[32395] April 16, 2020 TO: ICI Members ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: IOSCO Publishes Report on Sustainable...
[32390] April 15, 2020 TO: ICI Members Municipal Securities Advisory Committee SUBJECTS: Municipal Securities RE: ICI Files Comment Letter on MSRB's Draft Amendments to Rule A-3 on Membership on the Board As you know, the Municipal Securities Rulemaking Board is seeking comment on...
[32385] April 15, 2020 TO: Municipal Securities Advisory Committee RE: Mark Your Calendar - May 21 Municipal Securities Advisory Committee Call The next meeting of the Municipal Securities Advisory Committee will be held as a call on Thursday, May 21, 2020, from 11:00 a.m. Eastern to...
[32392] April 15, 2020 TO: ICI Global Regulated Funds Committee RE: Mark Your Calendar: Telephonic Meeting for Asia-Based Members of ICI Global Regulated Funds Committee on 14 May Please mark your calendar for the next meeting for Asia-based members of the ICI Global Regulated Funds...
[-1] April 15, 2020 TO: ICI Members Municipal Securities Advisory Committee SUBJECTS: Municipal Securities RE: ICI Files Comment Letter on MSRB's Draft Amendments to Rule A-3 on Membership on the Board As you know, the Municipal Securities Rulemaking Board is seeking comment on draft...
[32391] April 15, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension Tax RE: IRS Provides Additional COVID-19 Tax Filing and Deadline Relief Relating to Retirement Plans Late last week, the IRS released Notice 2020-23, [1] providing...
[32388] April 14, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Operations Technology & Business Continuity Transfer Agency Variable Insurance Products RE: SEC Division of Investment Management...
[32387] April 13, 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 Investment Advisers Committee Operations Committee Pension...
[32381] April 13, 2020 TO: ICI Members Management Company Tax Subcommittee Tax Committee SUBJECTS: Tax RE: COVID 19: IRS Expands Tax Filling and Payment Relief The IRS issued Notice 2020-23 expanding the federal tax filing and payment relief for certain tax form filings and payment...
[32384] April 13, 2020 TO: ICI Members ICI Global Members SUBJECTS: International/Global RE: Comment Letter on the Japanese Foreign Exchange and Foreign Trade Act Draft Rules On November 22, 2019, the Japanese National Diet passed an amendment bill to the Foreign Exchange and Foreign...
[32382] April 13, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Trading and Markets RE: CFTC Extends Comment Deadlines for Several Open Proposals In light of challenges caused by the COVID-19 pandemic...
[32383] April 13, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Division of Corporation Finance Issues...
[32375] April 9, 2020 TO: ICI Global Members SUBJECTS: International/Global RE: IOSCO Reprioritizes Its Work Program to Address Impact of COVID-19 As a result of the COVID-19 crisis, the International Organization of Securities Commissions (IOSCO) announced it will re-prioritize the...
[32372] April 9, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee RE: COVID 19 - UK FCA's Expectations for SM&CR for Solo-Regulated Firms On 3 April...
[32373] April 9, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers...
[32380] April 9, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance RE: SEC Provides Temporary Flexibility to Business Development Companies to Provide Capital to Portfolio Companies On April 8, the Securities and Exchange Commission provided temporary exemptive relief [1] to...
[32379] April 9, 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...
[32376] April 9, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Staff Issues Updated Guidance on Shareholder Meetings in Light of COVID-19...
