CCO Advisory Issues Subcommittee Content

[32950] November 30, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Extension of USD LIBOR and Further Information...

[32948] November 27, 2020 TO: Derivatives Markets Advisory Committee LIBOR Transition Working Group SEC Rules Committee SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Updates from the CFTC On November 24, 2020, CFTC Chairman Heath Tarbert issued a statement on...

[32939] November 23, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SUBJECTS: Compliance Disclosure ESG International/Global Investment Advisers RE: Asia ESG: Summary of HK SFC Consultation on Climate Risk...

[32927] November 20, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Transfer Agency RE: ICI Files Comment Letter with FinCEN on Its Advanced Notice of Proposed Rulemaking Regarding Anti-Money Laundering Program...

[32928] November 19, 2020 TO: ICI Global Regulated Funds Committee LIBOR Transition Working Group SEC Rules Committee SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Updates from the ICE Benchmark Administrator, UK Financial Conduct Authority, and US Federal...

[32890] November 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight RE: SEC's New Rule on Funds' Use of Derivatives...

[32886] November 2, 2020 TO: ICI Members Investment Company Directors 1940 Act Derivatives Working Group SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight...

[32881] October 30, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers RE: CFTC Approves Amendments to Form...

[32868] October 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance CPO/CTA Derivatives International/Global Investment Advisers Trading and Markets RE: CFTC Chairman Tarbert Issues Directive on...

[32857] October 23, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: ISDA Launches Fallback Protocol and Supplement We wanted to alert you to...