[32802] October 2, 2020 TO: ICI Members ICI Global Members Global Advocacy Coordination Advisory Committee ICI Global Atlantic Chapter ICI Global Brexit Task Force ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee...
[32792] September 30, 2020 TO: ICI Members Operations Committee Privacy Issues Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Privacy State Issues RE: California Extends Privacy Law Exclusion for Employee Information Until January 1, 2022 As...
[32790] September 29, 2020 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Regulated Funds...
[32780] September 25, 2020 TO: ICI Global MembersGlobal Advocacy Coordination Advisory Committee Global Operations Advisory Committee ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee International Compliance Advisory Committee International Internal...
[32779] September 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers Operations Portfolio Oversight Transfer Agency RE: SEC Adopts Amendments to Shareholder Proposal Rule (Rule 14a-8) This week...
[32748] September 9, 2020 TO: ICI Members ICI Global Members SUBJECTS: Audit Committees Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight International/Global Investment Advisers Risk Oversight RE: President's Working Group Submits...
[32743] September 4, 2020 TO: ICI Members SEC Rules Committee SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Adopts Expanded Accredited Investor and Qualified Institutional Buyer Definitions The Securities and Exchange Commission recently updated the definitions of...
[32728] September 1, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent...
[32714] August 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Subcommittee SUBJECTS: Compliance Derivatives International/Global Investment Advisers...
[32710] August 26, 2020 TO: ICI Members Disclosure Working Group Operations Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Operations RE: SEC Proposes Rule to Promote the Reliability and Integrity of EDGAR Submissions On August 21, the Securities and Exchange Commission...
