[32163] January 21, 2020 TO: Equity Markets Advisory Committee RE: SEC Proposes Order Directing SROs to Submit a New NMS Plan Regarding Consolidated Equity Market Data The SEC recently proposed an order to modernize the operation of existing national market system plans (the “NMS...
[32162] January 17, 2020 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...
[32160] January 17, 2020 TO: Internal Sales Managers Roundtable RE: Registration Now Open: April 2-3 2020, Internal Sales Managers Roundtable Meeting The Investment Company Institute’s Internal Sales Managers Roundtable will meet on Thursday, April 2, from 1:00 p.m. to 5:00 p.m., and...
[32159] January 17, 2020 TO: Derivatives Markets Advisory Committee RE: CFTC Proposes Prohibition on Post-Trade Name Give-Up: Member Call on January 28 In December, the Commodity Futures Trading Commission (CFTC or “Commission”) approved a proposed rule (“Proposed Rule”) to prohibit...
[32161] January 17, 2020 TO: Accounting/Treasurers Committee Auditor Independence Working Group RE: SEC Proposes Amendments to Auditor Independence Rule; Call Scheduled for January 29 at 2:00 PM ET On December 30, the Securities and Exchange Commission issued for public comment...
[32150] January 16, 2020 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda for Tax Committee Call -- Wednesday, January 22 at 11:00 AM ET The next Tax Committee monthly conference call will be on Wednesday, January 22, 2020 at 11:00 a.m....
[32154] January 16, 2020 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Registration for February 24 and 25 Tax Committee Meeting The next meeting of the ICI Tax Committee will be held on Monday, February 24 (2:00 p.m. to 5:00 p.m.) and Tuesday...
[32156] January 16, 2020 TO: ICI Members Investment Company Directors ICI Global Members Management Company Tax Subcommittee Pension Committee Public Communications Committee Tax Advisory Committee Tax Committee SUBJECTS: 529 Plans Derivatives Distribution Fees and Expenses Operations...
[32155] January 16, 2020 TO: Investment Company Directors SUBJECTS: Directors Chapter RE: IDC Directors Chapter Meeting in Washington, DC on Thursday, February 27, 2020 You are invited to attend the next IDC Directors Chapter meeting in Washington, DC: When: Thursday, February 2710:00...
[32151] January 16, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Issues New Interim Guidance on the Default Withholding Rate for Retirement and Annuity Distributions...
[32152] January 16, 2020 TO: ICI Global Members Global Operations Advisory Committee - Asia ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Alternative Investments Compliance Disclosure Distribution Fees and Expenses International/Global Investment Advisers...
[32148] January 16, 2020 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: Supreme Court Declines to Hear 401(k) Fee Case Yesterday, the US Supreme Court officially denied certiorari in Putnam Investments, LLC v. Brotherston . [1] ICI had...
[32157] January 16, 2020 TO: SEC Rules Committee RE: Registration Open for February 26 SEC Rules Committee Meeting The next meeting of the SEC Rules Committee is scheduled for Wednesday, February 26th. We are pleased to announce that our guest speakers will be Sarah ten Siethoff...
[32153] January 16, 2020 TO: ICI Global Regulated Funds Committee ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Member Call to Discuss India's 2020 Union Budget - February 11, 2020 ICI and ICI Global will hold a members-only conference call on Tuesday...
[32158] January 16, 2020 TO: ICI Members Investment Company Directors ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Updated Global ESG-Related...
[32147] January 14, 2020 TO: ICI Global Members SUBJECTS: MiFID, EMIR, AIFMD, UCITS V RE: European Banking Authority Issues Consultation on Draft RTS Identifying "Risk Takers" Under the CRD At the end of December, the European Banking Authority (EBA) launched a consultation on draft...
[32145] January 14, 2020 TO: Global Advocacy Coordination Advisory Committee ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee ICI Global Retirement Savings Committee Pension Committee Pension Operations Advisory Committee RE: Call Announced on EIOPA...
[32144] January 14, 2020 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: Registration Link for the February 10 Meeting of the ICI Global Regulated Funds Committee The next in-person meeting of the ICI Global Regulated Funds Committee will be held on...
[32146] January 14, 2020 TO: ICI Members Chief Compliance Officer Committee Compliance Advisory Committee SUBJECTS: Investment Advisers Litigation & Enforcement RE: SEC Fines Another Broker-Dealer/Investment Adviser for Recommending More Expensive Share Classes The Securities and...
[32142] January 13, 2020 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee RE: Quarterly Joint Committee Conference Call Schedule for 2020 Please save the dates for the 2020 joint conference calls of the Bank, Trust and Retirement Advisory Committee...
[32143] January 13, 2020 TO: Advertising Compliance Advisory Committee RE: 2020 Schedule of Quarterly Advertising Compliance Advisory Committee Calls To provide members of the Advertising Compliance Advisory Committee a forum to discuss advertising issues, we will continue our...
[32141] January 13, 2020 TO: ICI Global Members Global Operations Advisory Committee ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers Litigation & Enforcement Trading and Markets RE...
[32139] January 13, 2020 TO: Closed-End Investment Company Committee RE: Save the Dates - Closed-End Investment Company Committee In-Person Meetings: April 21 in DC; November 4 in New York Please note that the dates for the Spring and Fall in-person meetings of the Closed-End...
[32140] January 13, 2020 TO: Investment Company Directors SUBJECTS: Directors Chapter RE: IDC Directors Chapter Meeting in Philadelphia on Wednesday, March 4, 2020 You are invited to attend the next IDC Directors Chapter meeting in Philadelphia: When: Wednesday, March 4 10:00 a.m. – 2...
