[32115] December 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Municipal Securities Advisory Committee SUBJECTS: Derivatives Disclosure Fixed Income Securities Fund Accounting & Financial...
[32107] December 18, 2019 TO: Research Committee Small Funds Committee RE: Research Report with Additional Detail from ICI's Annual Mutual Fund Shareholder Tracking Survey Each year, ICI conducts a telephone survey of US households to track households’ ownership of mutual funds and to...
[32111] December 18, 2019 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 Taxonomy Legislation: Final Agreement Reached The European co-legislators...
[32110] December 18, 2019 TO: ESG Task Force ICI Global Regulated Funds Committee RE: Agenda from ESG Task Force Call (18 Dec) to Discuss EU Files Attached for your reference is the agenda from yesterday’s ESG Task Force call, where we discussed recent developments on the following...
[32109] December 18, 2019 TO: Investment Company Directors SUBJECTS: Directors Chapter RE: IDC Directors Chapter Meeting in Denver on Thursday, March 26, 2020 You are invited to attend the next IDC Directors Chapter meeting in Denver: When: Thursday, March 2610:00 am to 2:00 pm (MT)...
[32106] December 17, 2019 TO: Global Operations Advisory Committee RE: Save the Dates - 2020 GOAC Committee Meetings The Global Operations Advisory Committee (GOAC) hold three in-person meeting per year. Each meeting has a European site and a US site, linked by video conference...
[32105] December 16, 2019 TO: ICI Global Regulated Funds Committee RE: Meeting Materials for ICI Global Regulated Funds Committee Meeting (Telephonic) for Asia-Based Members on 18 December Please see the following link to the electronic materials (including the agenda and attendee...
[32103] December 16, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: IRS Announces Extended Deadline for Pre-Approved Plans to Adopt Amendments Related to Hardship Distribution Changes The IRS has issued Revenue Procedure 2020-9, [1]...
[32104] December 16, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Anti-Money Laundering Distribution International/Global Investment Advisers Privacy Trading and Markets RE: Update on ICI Global's Meeting with CSRC regarding...
[32101] December 16, 2019 TO: Bank, Trust and Retirement Advisory Committee RE: Registration Open - Bank, Trust and Retirement Advisory Committee Meeting - February 5-6, 2020 The next Bank, Trust and Retirement Advisory Committee (BTRAC) meeting will take place on Wednesday, February...
[32102] December 13, 2019 TO: ICI Global Investing Subcommittee ICI Global Regulated Funds Committee RE: Draft Letter on Japan Foreign Investment Restrictions Amendments (FEFTA) - Feedback Requested by December 17 On November 22, the Japanese National Diet passed an amendment bill to...
[32100] December 13, 2019 TO: ICI Members ICI Global Members Accounting/Treasurers Committee ICI Global Tax Committee Tax Committee SUBJECTS: Fund Accounting & Financial Reporting International/Global Tax RE: India Withdraws Enhanced Surcharge Tax on Capital Assets On December 12...
[32077] December 12, 2019 TO: Sales and Marketing Committee RE: Registration Now Open: February 27, 2020 Sales and Marketing Committee Meeting The Investment Company Institute’s Sales and Marketing Committee will meet on Thursday, February 27, 2020, at ICI’s offices on the 12th floor...
[32099] December 12, 2019 TO: ICI Members SUBJECTS: Audit Committees Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Money Market Funds Valuation RE: Greater Access to "ADIs" on Division of Investment Management Website As you know, the...
[32087] December 11, 2019 TO: Broker/Dealer Advisory Committee RE: Registration Now Open-Broker/Dealer Advisory Committee Meeting - January 29-30, 2020 The Investment Company Institute’s Broker/Dealer Advisory Committee will meet on Wednesday, January 29, 2020 from 9:00 a.m. CT to 5...
[32098] December 11, 2019 TO: Disclosure Working Group RE: 2020 Schedule for Disclosure Working Group Calls To provide members of the Disclosure Working Group a forum to discuss disclosure matters, including SEC staff comments on prospectus disclosure, we will continue our conference...
[32096] December 11, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting Investment Advisers RE: New FINRA FAQ Permits "Adjusted Expense Ratios" in Ads Last week, FINRA issued a new FAQ that permits...
[32095] December 11, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Transfer Agency Variable Insurance Products RE: ICI Summary of Fall 2019 Regulatory Flexibility Agendas for SEC and CFTC...
[32097] December 11, 2019 TO: ICI Members ICI Global Members Accounting/Treasurers Committee ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee SUBJECTS: Fund Accounting & Financial Reporting International/Global Tax RE: India: ICI Submits Letter on Industry...
[32089] December 10, 2019 TO: 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: EU Taxonomy Legislation: Provisional Agreement Reached We have...
[32088] December 10, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Systemic Risk RE: FSOC Adopts Final Guidance Reforming Nonbank SIFI Designation Process At an open meeting on December 4, the Financial Stability Oversight Council (FSOC or the Council) approved final...
[32093] December 10, 2019 TO: 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: ESG Task Force Call on Wednesday, 18 December to Discuss EU...
[32092] December 10, 2019 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: ICI's Draft "Funds as Issuers" Proxy Report; Comments...
[32094] December 10, 2019 TO: Internal Audit Committee RE: Next In-Person Internal Audit Committee Meeting Scheduled for Tuesday, April 28th in Charlotte, NC Please note that the next in-person meeting of ICI’s Internal Audit Committee is scheduled for Tuesday, April 28 th in...
[32091] December 10, 2019 TO: ICI Members SUBJECTS: Trading and Markets RE: ICI Comment Letter Supporting SEC's Proposed Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments The Securities and Exchange Commission recently proposed amending Regulation NMS under the...
