[32062] November 25, 2019 TO: Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: ICI Submits Comments to DOL on Electronic Delivery ICI submitted the attached letter to the Department of Labor in response to its recently proposed regulation on electronic...
[32060] November 22, 2019 TO: Disclosure Working Group RE: Agenda for November 25 Call Attached is the agenda for our next call on Monday, November 25 at 2:00 pm ET. The call information is as follows: Dial In: (253) 617-4981 Meeting ID: 507473381 During the call, I will ask the...
[32059] November 21, 2019 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: Derivatives Trading and Markets RE...
[32058] November 20, 2019 TO: ICI Members Tax Committee SUBJECTS: Tax RE: ICI Requests Changes to IRS Form 1120-RIC ICI submitted the attached letter to the Internal Revenue Service (IRS) recommending changes to the current IRS Form 1120-RIC, US Income Tax Return for Regulated...
[32057] November 14, 2019 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: For Your Review - DRAFT Submission to OECD on Pillar Two Proposal The attached draft ICI Global submission for your review responds to the consultation document released by the...
[32056] November 14, 2019 TO: ICI Global Regulated Funds Committee RE: Save the Date: Telephonic Meeting for Asia-Based Members of ICI Global Regulated Funds Committee on 18 December The next meeting for Asia-based members of the ICI Global Regulated Funds Committee will be held on...
[32055] November 13, 2019 TO: Tax Committee RE: Draft Letter to IRS Regarding REIT Excess Inclusion Income - Comments Requested The Internal Revenue Service (IRS) and the Treasury Department recently requested comments on the taxation and reporting of excess inclusion income from real...
[32054] November 12, 2019 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Operations Recordkeeping RE: SEC Proposes Amendments to Advisers Act Advertising and Cash Solicitation Rules The SEC recently proposed amendments to the Advisers Act Advertising and Cash Solicitation...
[32050] November 12, 2019 TO: Pension Committee Pension Operations Advisory Committee RE: ICI Sends Letter to DOL Regarding Impending Fiduciary Advice Rulemaking ICI sent the attached letter to the Department of Labor (DOL), following up on a meeting with DOL officials on October 9...
[32049] November 12, 2019 TO: ICI Members ICI Global Members ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee SUBJECTS: International/Global Tax RE: ICI Global Submission to OECD Urging Exemption for Funds and their Managers from Pillar 1 Tax Proposal ICI...
[32048] November 11, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Proposes Amendments to Proxy Rules Affecting Proxy Advisory Firms and Shareholder...
[32047] November 11, 2019 TO: Chief Compliance Officer Committee SEC Rules Committee RE: SEC Sanctions Broker-Dealer/Investment Adviser for Use of Faulty Share Class Selection Calculator The SEC has settled an enforcement proceeding with a firm dually registered as a broker-dealer and...
[32046] November 8, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: Treasury Proposes Updated Life Expectancy and Distribution Period Tables for RMD Calculations The Treasury Department has issued proposed regulations updating the...
[32045] November 8, 2019 TO: ICI Members ICI Global Members ESG Task Force SEC Rules Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers RE: SEC Chairman Statement on ESG at Investor Advisory Committee Meeting The SEC Investor Advisory Committee meeting...
[32042] November 6, 2019 TO: ICI Global Tax Committee Management Company Tax Subcommittee Tax Committee RE: Agenda for Tax Committee Call -- Thursday, November 14 at 11:00 AM ET The next Tax Committee monthly conference call will be on Thursday, November 14, 2019, at 11:00 a.m....
[32040] November 6, 2019 TO: Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Proposal for Exemptive Order Applications; Comments Due November 14 As previously reported, the...
[32041] November 6, 2019 TO: Equity Markets Advisory Committee RE: ICI Draft Comment Letter on SEC's Proposed Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments; Your Comments Requested by November 20th The Securities and Exchange Commission recently proposed...
[32043] November 6, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Pension RE: IRS Announces Retirement Plan Limitations for 2020 The Internal Revenue Service has released annual cost of living and other adjustments applicable to dollar...
[32039] November 6, 2019 TO: ICI Members Pension Committee Pension Operations Advisory Committee SUBJECTS: Abandoned Property and Escheatment Pension RE: ERISA Advisory Council Presents Recommendations on Permissive Transfers of Uncashed Checks from ERISA Plans to State Unclaimed...
[32037] November 5, 2019 TO: ICI Members ICI Global Members SUBJECTS: MiFID, EMIR, AIFMD, UCITS V RE: SEC Announces Extension of MiFID II No-Action Letter In October 2017, the staff of the Division of Investment Management of the Securities and Exchange Commission (SEC) issued to the...
[32035] November 5, 2019 TO: Registered Fund CPO Advisory Committee RE: Committee Call to Discuss ICI Meetings with CFTC Leadership and Plans for Future Engagement As we previously informed you, ICI had a series of meetings last month with senior leaders at the Commodity Futures...
[32036] November 5, 2019 TO: Registered Fund CPO Advisory Committee RE: Save the Date: January 15 In-Person Meeting of ICI's Registered Fund CPO Advisory Committee, Featuring CFTC and NFA Speakers Please mark your calendars for an in-person meeting of the Registered Fund CPO Advisory...
[32038] November 5, 2019 TO: Tax Advisory Committee Tax Committee RE: Draft Letter to IRS on Form 1120-RIC -- Comments Requested Attached for your review is a draft letter to the Internal Revenue Service (IRS) recommending changes to the Form 1120-RIC, US Income Tax Return for...
