Operations Content

[33161] March 5, 2021 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: UK Financial Conduct Authority Formally...

[33158] March 4, 2021 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee Internal Audit Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering...

[33126] February 23, 2021 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Operations Committee SEC Rules Committee SUBJECTS: Litigation & Enforcement RE: SEC Files a Civil Action Against Morningstar Credit Ratings LLC for Violations of the Federal...

[33110] February 17, 2021 TO: ICI Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Securities Operations Advisory Committee Security Valuation Operations Committee Small Funds Committee Transfer...

[33108] February 16, 2021 TO: ICI Members ICI Global Members ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: UK Treasury Issues Consultation on Safe Harbor for Benchmarks Regulation The UK HM...

[33091] February 5, 2021 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Fixed-Income Advisory Committee Investment Advisers Committee SEC Rules Committee Securities Operations Advisory Committee Small Funds Committee SUBJECTS: Audit and...

[33088] February 4, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Fund Accounting & Financial Reporting Fund Governance Money Market Funds Operations Transfer Agency Unit Investment...

[33081] February 2, 2021 TO: ICI Global Members Global Operations Advisory Committee ICI Global Regulated Funds Committee Securities Operations Advisory Committee SUBJECTS: International/Global Operations Settlement RE: ICI Global Submits Response to EU Commission CSDR Consultation on...

[33077] February 1, 2021 TO: ICI Members ICI Global Members ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: European Parliament Adopts Amendments to Benchmarks Regulation The European Union...

[33062] January 22, 2021 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Posts Drafts of Form W-4P and New Form W-4R for 2022 Relating to Payments from Retirement Plans and...