Investment Advisers Content

[32595] July 13, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Financial Stability Investment Advisers Trading and Markets RE: ICI Files Comment Letter with CFTC on Proposed Amendments to Part 190 Bankruptcy Regulations ICI has filed a comment...

[32596] July 13, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure ESG International/Global Investment Advisers Portfolio Oversight Risk Oversight RE: Monetary Authority of Singapore (MAS) Proposes Environmental Risk...

[32585] July 7, 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 Advisory...

[32581] July 6, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory...

[32584] July 6, 2020 TO: ICI Global Members ESG Task Force EU ESG Disclosure Regulation Working Group EU Sustainable Finance Strategy Working Group ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution ESG International/Global Investment Advisers MiFID...

[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...

[32569] July 1, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Intermediary Oversight International/Global Investment Advisers Operations Portfolio Oversight Risk Oversight RE: France's AMF...

[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...

[32557] June 26, 2020 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Investment Advisers Committee SEC Rules Committee Security Valuation Operations Committee Small Funds Committee RE: Draft ICI Comment Letter on SEC's Fair Value Proposal-Comment Due by July 7...

[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...