Investment Advisers Content

[32836] October 15, 2020 TO: ICI Global Members ESG Task Force (Global) Global Advocacy Coordination Advisory Committee Global Operations Advisory Committee ICI Global Regulated Funds Committee SUBJECTS: Disclosure ESG Financial Stability International/Global Investment Advisers MiFID...

[32819] October 9, 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...

[32814] October 8, 2020 TO: ICI Members Chief Compliance Officer Committee Derivatives Markets Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance COVID-19 CPO/CTA Derivatives Investment Advisers RE: Expiration of Temporary CFTC...

[32813] October 7, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Operations Trading and Markets RE: CFTC Adopts Amendments to Swap Data Reporting Requirements In September, the Commodity Futures Trading Commission...

[32806] October 5, 2020 TO: ICI Global Members ESG Task Force (Global) EU ESG Disclosure Regulation Working Group SUBJECTS: Disclosure ESG International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU ESG: European Commission Confirms Delay of SFDR Level 2 Requirements...

[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...

[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...

[32763] September 17, 2020 TO: Derivatives Markets Advisory Committee Investment Advisers Committee RE: CFTC Staff Issues Further Guidance and Relief Regarding Treatment of Separate Accounts by FCMs On September 15, 2020, The Division of Clearing and Risk (DCR) and the Division of...

[32764] September 17, 2020 TO: ICI Members ICI Global Members ESG Task Force (Global) ESG Working Group (US) SUBJECTS: Disclosure ESG Financial Stability International/Global Investment Advisers Pension Valuation RE: CFTC's Climate Risk Report and Other Developments on ESG Disclosure...

[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...