CCO Advisory Issues Subcommittee Content

[32516] June 10, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Upcoming Public Hearing on EU ESG Disclosure Regulation RTS In case...

[32509] June 5, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fixed Income Securities Fund Governance RE: SEC Asset Management Advisory Committee: Highlights from the May 27, 2020 Meeting The SEC’s Asset Management Advisory Committee (AMAC) held a...

[32497] May 29, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: CFTC Approves Interim Final Rule Deferring Phase 5...

[32487] May 28, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance RE: SEC Staff Permits Funds to Opt in to State Control Share Acquisition Statutes On May 27, 2020, the Securities and Exchange Commission’s Division of Investment Management issued...

[32493] May 28, 2020 TO: ICI Global Members ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: Consolidated...

[32491] May 28, 2020 TO: ICI Global Members ESG Task Force Global Advocacy Coordination Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: Consolidated...

[32474] May 21, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: CFTC's GMAC Margin Subcommittee Issues Report on...

[32475] May 21, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure RE: SEC Staff Updates FAQs Related to COVID-19 The staff of the SEC’s Division of Investment Management recently updated its frequently asked questions concerning the COVID-19 crisis. [1] Since the staff initially...

[32457] May 13, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Operations Transfer Agency Variable Insurance Products RE: Important Information Regarding ICI Involvement with Third-Party...

[32441] May 5, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Detailed Summary of EU Consultation on Draft Regulatory Technical...