Global Trading and Markets Committee Content

[32166] January 22, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee Risk Advisory Committee SEC...

[32156] January 16, 2020 TO: ICI Members Investment Company Directors ICI Global Members Management Company Tax Subcommittee Pension Committee Public Communications Committee Tax Advisory Committee Tax Committee SUBJECTS: 529 Plans Derivatives Distribution Fees and Expenses Operations...

[32125] January 2, 2020 TO: ICI Members ICI Global Members Chief Risk Officer Committee ICI Global Brexit Task Force ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee SUBJECTS: International/Global RE: Confirmed...

[32124] December 23, 2019 TO: ICI Members ICI Global Members SUBJECTS: Derivatives International/Global Systemic Risk RE: IOSCO Recommends Framework for Assessing Fund Leverage The International Organization of Securities Commissions recently recommended a two-step framework to...

[32115] December 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Municipal Securities Advisory Committee SUBJECTS: Derivatives Disclosure Fixed Income Securities Fund Accounting & Financial...

[32095] December 11, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Transfer Agency Variable Insurance Products RE: ICI Summary of Fall 2019 Regulatory Flexibility Agendas for SEC and CFTC...

[32083] December 6, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Risk Oversight Systemic Risk RE: SEC Re-Proposes Rule on Fund's Use of Derivatives and Proposes Sales Practice Rules for Transactions in Leveraged/Inverse...

[32081] December 6, 2019 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee International Compliance Advisory Committee International Internal Audit Advisory Committee RE: European Supervisory Authorities Statement on...

[32082] December 6, 2019 TO: Equity Markets Advisory Committee ICI Global EU Capital Markets Union Task Force ICI Global Exchange Traded Funds Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: ESMA Report on the Development of Prices for Market...

[32074] December 5, 2019 TO: ICI Members Closed-End Investment Company Committee Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Investment Advisers RE: CFTC Adopts Amendments to...