Investment Advisers Content

[32305] March 19, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: Detailed Summary of EU NFRD Consultation; Second Member Call on 7 Apr We will have...

[32294] March 16, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU ESG Fund Disclosure: Final Taxonomy Report from EU Technical...

[32286] March 15, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight Settlement Technology & Business...

[32284] March 14, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Staff Issues Guidance on Shareholder Meetings in Light of COVID-19...

[32282] March 14, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight Technology & Business Continuity...

[32254] March 2, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Disclosure Investment Advisers Trading and Markets RE: ICI Files Comment Letter with CFTC Supporting Prohibition on Post-Trade Name Give-Up In December, the Commodity Futures Trading...

[32242] February 26, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee...

[32246] February 26, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: EU Launches Consultation on ESG-related Disclosure for Corporate Issuers Under...

[32232] February 24, 2020 TO: ICI Global Members ICI Global Regulated Funds Committee SUBJECTS: Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V Pension Trading and Markets RE: High Level Forum on the EU Capital Markets Union Releases...

[32227] February 21, 2020 TO: ICI MembersInvestment Company Directors SUBJECTS: Advisory Contract Renewal Compliance Disclosure Fund Governance Investment Advisers RE: Diverse Investment Advisers Act We want to inform you about proposed legislation known as the Diverse Investment...