Investment Advisers Content

[32969] December 8, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Investment Advisers Committee SUBJECTS: Derivatives Investment Advisers Trading and Markets RE: ICI Files...

[32967] December 7, 2020 TO: ICI Members ICI Global Members ESG Advisory Group ESG Task Force EU ESG Disclosure Regulation Working Group SEC Rules Committee SUBJECTS: ESG Fund Governance Investment Advisers Unit Investment Trusts (UITs) Variable Insurance Products RE: ICI Board of...

[32965] December 4, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: SEC...

[32939] November 23, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SUBJECTS: Compliance Disclosure ESG International/Global Investment Advisers RE: Asia ESG: Summary of HK SFC Consultation on Climate Risk...

[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...

[32879] October 30, 2020 TO: ICI Global Members ICI Global EU Capital Markets Union Task Force ICI Global Regulated Funds Committee SUBJECTS: COVID-19 Disclosure Distribution Fees and Expenses Financial Stability International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE...

[32860] October 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: ICI Files Comment...

[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...

[32858] October 23, 2020 TO: ICI MembersDerivatives Markets Advisory Committee SUBJECTS: DerivativesInvestment AdvisersOperations RE: ICI Files Comment Letter with CFTC on Proposed Amendments to Uncleared Swap Margin Requirements ICI has filed a comment letter with the CFTC on the...

[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...