Operations Content

[33057] January 20, 2021 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: ICI Submits Responses to the ICE Benchmark Administration and UK Financial Conduct Authority Consultations This week, ICI...

[33043] January 14, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Pension Committee Pension Operations Advisory Committee TAAC Abandoned Property Task Force Transfer Agent Advisory Committee SUBJECTS: Abandoned Property and Escheatment Pension RE: DOL Issues New...

[33040] January 13, 2021 TO: Investment Adviser and Broker-Dealer Standards of Conduct Working Group Operations Committee Pension Committee Pension Operations Advisory Committee RE: Conference Call - The Future of DOL Fiduciary Advice Rulemaking - Jan. 25 at 2:00 p.m. ET ICI will hold...

[33041] January 13, 2021 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: China Enacts Countermeasures Against Recent Foreign Sanctions In response to a wave of sanctions imposed by the US Government...

[33027] January 7, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension RE: Retirement Provisions Included in Year-End...

[33016] January 4, 2021 TO: ICI Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SUBJECTS: Advertising Compliance Disclosure Investment Advisers Operations Recordkeeping RE: SEC Adopts Amendments to Advisers Act...

[33004] December 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee...

[33001] December 21, 2020 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...

[32999] December 18, 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...

[32980] December 14, 2020 TO: ICI Members Accounting/Treasurers Committee Closed-End Investment Company Committee ETF (Exchange-Traded Funds) Committee Money Market Funds Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory...