[32269] March 6, 2020 TO: Research Committee RE: ICI Research Committee Upcoming Conference Call ICI Research Committee Conference Call: April 2, 2020, 11:00AM (ET) to Noon Whereas many member companies and ICI have travel restrictions in place, the ICI Research Committee will be...
[32268] March 6, 2020 TO: Chief Compliance Officer Committee SEC Rules Committee Small Funds Committee Technology Committee Transfer Agent Advisory Committee RE: COVID-19 and SEC Exemptive Relief On March 4, 2020, the Securities and Exchange Commission (“SEC”) issued an order...
[32265] March 5, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: AMAC Circular on Facilitating Applications by Private Fund Managers The Asset Management Association of China (“AMAC”) issued a...
[32263] March 4, 2020 TO: ESG Task Force ICI Global Regulated Funds Committee RE: Agenda Attached for Call on EU Consultation on ESG-related Disclosure for Corporate Issuers Under the NFRD Attached is the agenda for our call tomorrow, Thursday, 5 March from 11-12 p.m. EST (4-5 p.m...
[32264] March 4, 2020 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee SEC Rules Committee SUBJECTS: Advisory Contract Renewal Audit Committees Fund Governance RE: SEC Guidance on Fund Board Meetings and Unforeseen or Emergency Circumstances related to...
[32262] March 4, 2020 TO: Accounting/Treasurers Committee Disclosure Working Group ESG Task Force SEC Rules Committee Small Funds Committee RE: SEC Requests Comment on Fund Names Rule; March 17th at 11am (ET) Member Call The Securities and Exchange Commission published a release...
[32260] March 4, 2020 TO: ESG Task Force RE: SEC Requests Comment on Funds Names with ESG Investing Strategy The Securities and Exchange Commission published a release seeking public comment on the framework for addressing potentially misleading names of registered investment...
[32261] March 4, 2020 TO: ICI Members SUBJECTS: Derivatives Disclosure Fund Accounting & Financial Reporting International/Global Portfolio Oversight RE: SEC Requests Comment on Fund Names Rule The Securities and Exchange Commission published a release seeking public comment on the...
[32259] March 4, 2020 TO: ICI Members SUBJECTS: Trading and Markets RE: SEC Proposal to Update NMS Market Data Infrastructure The SEC unanimously approved a rule proposal (“Proposed Rule” or “Release”) to update the national market system (NMS) and ensure that it continues to promote...
[32258] March 3, 2020 TO: Diversity and Inclusion Working Group RE: Agenda for the Diversity and Inclusion Working Group Call - Thursday, March 12 The next Diversity and Inclusion Working Group conference call will be held Thursday, March 12, 2020, at 2:00 p.m. ET. The agenda for the...
[32257] March 3, 2020 TO: ICI Members ICI Global Members Management Company Tax Subcommittee Tax Committee SUBJECTS: Fund Accounting & Financial Reporting Tax RE: Maryland: ICI Submits Written Testimony Opposing Sales Tax on Services The Institute filed the attached letter and written...
[32255] March 2, 2020 TO: ICI Members ICI Global Members Accounting/Treasurers Committee ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee SUBJECTS: International/Global Tax RE: India: ICI Global Submits Letter Re Indian 2020 Budget Tax Issues ICI Global...
[32256] March 2, 2020 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee SEC Rules Committee SUBJECTS: Advisory Contract Renewal Audit Committees Fund Governance RE: Coronavirus Situation and In-Person Fund Board Meetings We have received questions about...
[32254] March 2, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Disclosure Investment Advisers Trading and Markets RE: ICI Files Comment Letter with CFTC Supporting Prohibition on Post-Trade Name Give-Up In December, the Commodity Futures Trading...
[32253] February 28, 2020 TO: ICI Members SUBJECTS: Trading and Markets RE: ICI Comment Letter on SEC Proposed Order to Reform NMS Plan Governance The Commission published for comment a proposed order to modernize the operation of existing national market system plans (the “NMS Plans”...
[32251] February 27, 2020 TO: ICI Members Chief Compliance Officer Committee SEC Rules Committee SUBJECTS: Compliance RE: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Advisers on April 21 The SEC has announced that its Office of Compliance Inspections...
[32249] February 27, 2020 TO: ETF Advisory Committee RE: Mark Your Calendar - June 17 ETF Advisory Committee Meeting The next meeting of the ETF Advisory Committee (which includes members of the ETF ecosystem) has been scheduled for Wednesday, June 17 in Washington, DC. A joint lunch...
[32248] February 27, 2020 TO: ETF (Exchange-Traded Funds) Committee RE: Mark Your Calendar - June 17 ETF Committee Meeting The next meeting of the ETF Committee (which is limited to ETF sponsors) has been scheduled for Wednesday, June 17, 2020 in Washington, DC. The meeting will begin...
[32250] February 27, 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: Member Call on EC Consultation on MiFID II/MiFIR Review and ESMA Consultation on MiFID...
[32234] February 27, 2020 TO: Transfer Agent Advisory Committee RE: Registration Now Open: May 5-6, 2020 Transfer Agent Advisory Committee Meeting The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday, May 5 from 1:00 p.m. to 5:00 p.m. ET and on Wednesday...
[32247] February 26, 2020 TO: ICI Members ICI Global Members ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee SUBJECTS: International/Global Tax RE: ICI Submits Letter to IRS on Form 8802, Application for United States Residency Certification The IRS...
[32246] February 26, 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: EU Launches Consultation on ESG-related Disclosure for Corporate Issuers Under...
