[32575] July 2, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Disclosure Investment Advisers Trading and Markets RE: CFTC Adopts Final Rule Prohibiting Post-Trade Name Give-Up on Swap Execution Facilities On June 25, 2020, the Commodity Futures...
[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...
[32553] June 24, 2020 TO: Derivatives Markets Advisory Committee RE: ICI Draft Comment Letter to CFTC on Proposed Amendments to Part 190 Bankruptcy Regulations - Your Comments Requested by July 2 On April 14th, the Commodity Futures Trading Commission (CFTC or “Commission”)...
[32536] June 17, 2020 TO: ICI Members Equity Markets Advisory Committee SUBJECTS: Litigation & Enforcement Trading and Markets RE: DC Circuit Court of Appeals Invalidates SEC's Transaction Fee Pilot Program On June 16, the U.S. Court of Appeals for the D.C. Circuit issued an opinion...
[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...
[32531] June 16, 2020 TO: ICI Global Members ICI Global Regulated Funds Committee SUBJECTS: Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V Pension Trading and Markets RE: High-Level Forum on the EU Capital Markets Union Publishes Final...
[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...
[32508] June 4, 2020 TO: Derivatives Markets Advisory Committee RE: June 10 - Continuation of ICI Member Call on CFTC Proposed Amendments to Part 190 Bankruptcy Regulations ICI’s Derivatives Markets Advisory Committee recently held a member call to discuss potential ICI comments on...
[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...
