August 26, 2015 Andrew Hoffman and Leanne Ingledew Prudential Regulation Authority 20 Moorgate London EC2R 6DA Attention: CP19_15@bankofengland.co.uk Re: Contractual Stays in financial contracts governed by third-country law Dear Mr. Hoffman and Ms. Ingledew: ICI Global1 appreciates...
August 17, 2015 Mr. Christopher Kirkpatrick, Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: CFTC Division of Market Oversight Roundtable Regarding the Made Available to Trade Process Dear Mr. Kirkpatrick: The...
August 13, 2015 Marcia E. Asquith Office of Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Discretionary Accounts and Transactions; FINRA Notice 15-22 Dear Ms. Asquith: The Investment Company Institute1 appreciates the opportunity to file a comment letter...
August 12, 2015 Via European Commission Online Questionnaire European Commission Re: Public Consultation on Regulation (EU) No 648/2012 on OTC Derivatives, Central Counterparties and Trade Repositories Dear Sir or Madam: ICI Global1 appreciates the opportunity to provide comments on...
August 11, 2015 Brent Fields, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: File No. SR-MSRB-2015-05 Rule G-45 Compliance Date Extension Dear Mr. Fields: The Investment Company Institute1 is writing to support extending the compliance date...
August 11, 2015 Mr. Brent J. Fields Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-9303 Re: Investment Company Reporting Modernization and Amendments to Form ADV and Investment Adviser Act Rules – File Nos. S7-08-15 and S7-09-15 Dear Mr...
July 21, 2015 Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Proposed Examination Restructuring FINRA Notice 15-20 (May 2015) Dear Ms. Asquith: The Investment Company Institute1 is pleased to support FINRA’s proposal to...
July 21, 2015 By U.S. Mail and Email: executivesecretariat@dol.gov, e-ORI@dol.gov, e-OED@dol.gov The Honorable Thomas E. Perez Secretary United States Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 Re: Proposed Fiduciary Rulemaking Dear Secretary Perez: On...
