CCO Advisory Issues Subcommittee Content

[32568] July 1, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Operations Transfer Agency RE: SEC Spring Regulatory Agenda The Office of Management and Budget released the regulatory agendas...

[32569] July 1, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Intermediary Oversight International/Global Investment Advisers Operations Portfolio Oversight Risk Oversight RE: France's AMF...

[32566] June 29, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment Closed-End Funds Compliance COVID-19 Disclosure Fund Accounting & Financial Reporting Fund Governance International/Global Operations Technology & Business Continuity Transfer Agency Variable Insurance...

[32564] June 29, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group...

[32559] June 26, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: Update on FDIC and...

[32545] June 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Operations Committee Pension Committee Pension Operations...

[32540] June 18, 2020 TO: ICI Members Accounting/Treasurers Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee LIBOR Transition Working Group SEC Rules Committee Security Valuation Operations Committee SUBJECTS: Compliance Operations RE: LIBOR Update: SEC...

[32530] June 16, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group...

[32529] June 16, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: ICI Submits Comments on CFTC Proposal to Revise Form CPO-PQR As...

[32524] June 11, 2020 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: Final Response to EU NFRD Consultation on ESG Disclosure for Corporate Issuers...