Compliance Advisory Content

[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...

[32913] November 16, 2020 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee Operations Committee Public Communications Committee SEC...

[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...

[32855] October 22, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SEC Rules Committee SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: Tough Legacy...

[32837] October 16, 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: CFTC Extends Phase...

[32838] October 16, 2020 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Fixed Income Securities RE: LIBOR Update: Financial Stability Board...