[32138] January 10, 2020 TO: Investment Company Directors SUBJECTS: Directors Chapter RE: IDC Texas and Arizona Directors Chapter Meeting Via Conference Call on Wednesday, February 19, 2020 You are invited to attend the next meeting of IDC’s Texas and Arizona Directors Chapters via...
[32137] January 10, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance RE: SEC Proposes Amendments to Auditor Independence Rule On December 30, the Securities and Exchange Commission issued for public comment proposed amendments to...
[32135] January 10, 2020 TO: International Internal Audit Advisory Committee RE: Next International Internal Audit Advisory Committee Meeting Scheduled for Wednesday, 22 April in London The next in-person meeting of the ICI/ICI Global International Internal Audit Advisory Committee...
[32134] January 9, 2020 TO: Bank-Affiliated Member Advisory Committee SEC Rules Committee RE: ICI Call to Discuss Regulation O and Potential Implications for Asset Managers On January 16, ICI will hold a member call to discuss issues arising under the Federal Reserve Board’s...
[32130] January 8, 2020 TO: Registered Fund CPO Advisory Committee RE: Reminder - Register for January 15th ICI Registered Fund CPO Advisory Committee Meeting - Draft Agenda Attached If you haven’t already, register for ICI’s in-person meeting of the Registered Fund CPO Advisory...
[32132] January 8, 2020 TO: ICI Members ESG Task Force SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure Distribution Investment Advisers RE: SEC Examiners Focus on ESG The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published its 2020...
[32131] January 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity...
[32129] January 8, 2020 TO: SEC Rules Committee RE: SEC Issues Proposal to Update Accredited Investor and Qualified Institutional Buyer Definitions; Call Scheduled for January 16 at 2:00 PM ET The Securities and Exchange Commission recently issued a proposal to update the definitions...
[32133] January 8, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Issues Proposal to Update Accredited Investor and Qualified Institutional Buyer Definitions The Securities and Exchange Commission recently issued a proposal to update the definitions of...
[32128] January 6, 2020 TO: ICI Global Members ESG Task Force ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers RE: Update on ESG-Related Policy Developments in Hong Kong The Hong Kong...
[32127] January 6, 2020 TO: Investment Company Directors SUBJECTS: Directors Chapter RE: IDC Directors Chapter Meeting in Palm Beach Gardens, FL on Wednesday, March 11, 2020 You are invited to attend the next IDC Directors Chapter meeting in Palm Beach Gardens: When: Wednesday, March...
[32126] January 2, 2020 TO: Registered Fund CPO Advisory Committee RE: Draft Agenda and Registration Information: ICI Registered Fund CPO Advisory Committee Meeting on January 15 (Washington DC and Chicago) It’s not too late to register for ICI’s in-person meeting of the Registered...
[32125] January 2, 2020 TO: ICI Members ICI Global Members Chief Risk Officer Committee ICI Global Brexit Task Force ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee SUBJECTS: International/Global RE: Confirmed...
[32124] December 23, 2019 TO: ICI Members ICI Global Members SUBJECTS: Derivatives International/Global Systemic Risk RE: IOSCO Recommends Framework for Assessing Fund Leverage The International Organization of Securities Commissions recently recommended a two-step framework to...
[32123] December 23, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Operations Transfer Agency RE: ICI Submits Report to the SEC on the Fund Proxy System In June, ICI submitted a comment letter to the SEC on the...
[32121] December 20, 2019 TO: ICI Global Members ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SUBJECTS: International/Global RE: Letter on Japan Foreign Investment Restrictions Amendments (FEFTA) On November 22, the Japanese National Diet passed an amendment...
[32117] December 20, 2019 TO: Small Funds Committee RE: Registration Now Open: Small Funds Webinar M&A Landscape for Small Asset Managers, 1:00 p.m. to 2:00 p.m. ET, February 12, 2020 The next meeting of the Investment Company Institute’s Small Funds Committee will be held on...
[32120] December 20, 2019 TO: Securities Operations Advisory Committee RE: Registration Now Open: Securities Operations Advisory Committee Meeting. March 16-17, 2020. The next meeting of the Securities Operations Advisory Committee will be held on Monday, March 16 from 2:00 p.m. to 6...
[32119] December 20, 2019 TO: Global Operations Advisory Committee RE: Registration Now Open: Global Operations Advisory Committee Meeting. February 12, 2020 The next meeting of the Global Operations Advisory Committee (GOAC) will take place on Wednesday, February 12, 2020 in London...
[32122] December 20, 2019 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: Notice of Next Meeting of the ICI Global Regulated Funds Committee The next in-person meeting of the ICI Global Regulated Funds Committee will be held on Monday, February 10, 2020...
[32116] December 20, 2019 TO: Series Trust Advisory Committee RE: Registration Now Open Series Trust Committee Skype Update Meeting, 1:00 p.m. to 2:00 p.m. ET, January 15, 2019 The next meeting of the Investment Company Institute’s Series Trust Committee will be held on Wednesday...
[32118] December 20, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: Congress Approves Bipartisan Retirement Legislation On December 19, 2019, the US Senate approved the Fiscal Year 2020 Consolidated Domestic and International...
[32112] December 19, 2019 TO: Registered Fund CPO Advisory Committee RE: Register Now: January 15 In-Person Meeting of ICI's Registered Fund CPO Advisory Committee ICI will hold an in-person meeting of the Registered Fund CPO Advisory Committee on Wednesday, January 15th. We are...
[32114] December 19, 2019 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: International/Global RE: European Commission Issues Communication on European Green Deal On December 11, the European Commission presented to the European Parliament its...
[32113] December 19, 2019 TO: ICI Members ICI Global Members ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee SUBJECTS: International/Global Tax RE: India: ICI Global Submits Letter on India Based Fund Manager Regime ICI Global submitted the attached letter...
