4 August 2017 European Securities and Markets Authority CS 60747 103 rue de Grenelle 75345 Paris Cedex O7 France Dear Sir or Madam: ICI Global1 appreciates the opportunity to comment on the European Securities and Markets Authority’s (ESMA) consultation paper (CP)2 on the EU’s Money...
19 June 2017 | ESMA70-156-166 2 Reply form for the Consultation Paper on the trading obligation for derivatives under MiFIR Responding to this paper The European Securities and Markets Authority (ESMA) invites responses to the specific questions listed in the ESMA Consultation Paper...
July 21, 2017 Filed Electronically Office of Exemption Determinations Employee Benefits Security Administration Attention: D-11933 U.S. Department of Labor 200 Constitution Avenue N.W., Suite 400 Washington, DC 20210 Re: RIN 1210-AB82; Request for Information Regarding the Fiduciary...
July 21, 2017 Filed Electronically Office of Exemption Determinations Employee Benefits Security Administration Attention: D-11933 U.S. Department of Labor 200 Constitution Avenue N.W., Suite 400 Washington, DC 20210 Re: RIN 1210-AB82; Request for Information Regarding the Fiduciary...
July 20, 2017 The Honorable Jay Clayton Chairman Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: ICI’s Recommendations Related to the Liquidity Risk Management and Fund Reporting Requirements Dear Chairman Clayton: I am sending this letter to follow up...
July 14, 2017 CFA Institute Global Investment Performance Standards 915 E. High Street Charlottesville, VA 22902 Re: GIPS® 20/20 Consultation Paper Dear Sir or Madam: The Investment Company Institute1 is writing to recommend that the CFA Institute tailor the pooled fund-specific...
July 11, 2017 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Request for Extension of Continued Listing Standards Implementation Date File No. SR-NASDAQ-2016-135 File No. SR-BatsBZX-2016-80 File No. SR-NYSEArca-2017-01 Dear...
June 19, 2017 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs—FINRA Special Notice, dated March 21, 2017 Dear Ms. Mitchell: The Investment...
