[32374] April 9, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Risk Oversight RE: SEC Division of Investment Management and Division of Trading and Markets Issue...
[32378] April 9, 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 Consultation on...
[32367] April 8, 2020 TO: Series Trust Advisory Committee RE: Virtual Meeting May 20 A virtual meeting of the Investment Company Institute’s Series Trust Advisory Committee will be held on May 20, at 1:00 p.m. to 2:30 p.m. ET via MS Teams. This virtual meeting replaces our cancelled...
[32370] April 8, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compensation/Remuneration Compliance Disclosure Distribution International/Global Investment Advisers Operations RE: China Issues New Guidelines Allowing Public Fund...
[32366] April 8, 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 Further COVID 19 Guidance to Funds On April 6, the UK...
[32371] April 8, 2020 TO: ICI Members ICI Global Members ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee SUBJECTS: Alternative Investments Fund Accounting & Financial Reporting...
[32368] April 8, 2020 TO: Derivatives Markets Advisory Committee RE: Registration Open for May 13th Telephonic Meeting of the Derivatives Markets Advisory Committee On Wednesday, May 13th, ICI will hold a telephonic members-only meeting of the Derivatives Markets Advisory Committee...
[32369] April 8, 2020 TO: ICI Members ICI Global Members SUBJECTS: Exchange-Traded Funds (ETFs) Fixed Income Securities Investment Advisers Money Market Funds Municipal Securities Systemic Risk Trading and Markets RE: Reference Guide: Federal Reserve Funding Facilities Established in...
[32365] April 8, 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...
[32364] April 8, 2020 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda for Tax Committee Call -- Wednesday, April 15 at 11:00 AM ET The next Tax Committee monthly conference call will be on Wednesday, April 15, 2020 at 11:00 a.m. (Eastern). The...
[32363] April 7, 2020 TO: SEC Rules Committee RE: April 23 - Special Call of the SEC Rules Committee to Discuss Current Issues On Thursday, A pril 23rd, from 1-3 pm ET, the SEC Rules Committee will hold a members-only conference call to discuss COVID-19 related developments affecting...
[32354] April 7, 2020 TO: Small Funds Committee RE: A View from Washington Conference Call May 5th The next virtual meeting of the Investment Company Institute’s Small Funds Committee will be held on May 5, at 1:00 p.m. ET via MS Teams. A calendar invitation has been sent to the...
[32360] April 6, 2020 TO: Global Advocacy Coordination Advisory Committee RE: Next call of the Global Advocacy Coordination Advisory Committee - 8 April, 15:00 BST/10:00 EDT The next call of the Global Advocacy Coordination Advisory Committee will take place on 8 April, 15:00 BST/10...
[32357] April 6, 2020 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: Your Feedback Requested - Suspension of Oversight Trading in KOSPI 200 Futures on CME Globex After April 6 On Monday, April 6, the Korean...
[32358] April 6, 2020 TO: Global Operations Advisory Committee ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: EU MiFID II/R Consultation - Deadline Extended to 18 May; Member Call on 23 April On 2 April...
[32361] April 6, 2020 TO: ICI Members Operations Committee Small Funds Committee TAAC Abandoned Property Task Force Transfer Agent Advisory Committee SUBJECTS: Abandoned Property and Escheatment Compliance Disclosure Operations Technology & Business Continuity Transfer Agency RE: US...
[32362] April 6, 2020 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: ICI Draft Letter on Japan FEFTA Consultation - Comments Requested by April 8 Dear Member – I hope that you and your loved ones are healthy and safe during this difficult time. As we...
[32356] April 3, 2020 TO: Accounting/Treasurers Committee 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 &...
[32353] April 3, 2020 TO: Small Funds Committee RE: Mark Your Calendar - 2020 Small Funds Committee - Virtual Meetings Due to the events of COVID 19 the Small Funds Committee will be having virtual meetings, using MS Teams, for the following dates. Please mark your calendar for the...
[32351] April 3, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee SUBJECTS: Compliance Derivatives International/Global Investment...
[32355] April 3, 2020 TO: Small Funds Committee RE: Virtual Shop Talk May 6th The Investment Company Institute’s Small Funds Committee will be holding a virtual shop talk session on May 6, at 2:00 p.m. ET via MS Teams. A calendar invitation has been sent to the committee members with...
[32350] April 3, 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...
[32352] April 3, 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: Deadline Extended for EU NFRD Consultation Response In light of the impact of the...
[32348] April 2, 2020 TO: Chief Compliance Officer Committee RE: Registration Open for May 6 CCO Committee Call As you may have heard, ICI recently cancelled the May 2020 Mutual Funds Compliance Conference and all related events due to the current pandemic. This includes our May 6th...
