Operations Content

[32928] November 19, 2020 TO: ICI Global Regulated Funds Committee LIBOR Transition Working Group SEC Rules Committee SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Updates from the ICE Benchmark Administrator, UK Financial Conduct Authority, and US Federal...

[32918] November 18, 2020 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: IRS Releases Draft Form and Instructions for Individuals' Reporting of Coronavirus...

[32913] November 16, 2020 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee Operations Committee Public Communications Committee SEC...

[32911] November 12, 2020 TO: ICI Global Members SUBJECTS: International/Global Operations RE: ICI Global's Response to the HKMA Consultation on the Greater Bay Area Wealth Management Connect ICI Global recently submitted the attached response letter to the consultation from the Hong...

[32900] November 5, 2020 TO: ICI Members Investment Company Directors Operations Committee SEC Rules Committee Securities Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: COVID-19 Fund Governance Operations Transfer Agency RE: AMAC Recommends that SEC Change...

[32891] November 3, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF (Exchange-Traded Funds) Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent...

[32890] November 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight RE: SEC's New Rule on Funds' Use of Derivatives...

[32892] November 3, 2020 TO: ICI Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Bank-Affiliated Member Advisory Committee Closed-End Investment Company Committee Operations Committee Tax Committee Transfer Agent Advisory Committee SUBJECTS: Fund...

[32886] November 2, 2020 TO: ICI Members Investment Company Directors 1940 Act Derivatives Working Group SUBJECTS: Alternative Investments Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight...

[32858] October 23, 2020 TO: ICI MembersDerivatives Markets Advisory Committee SUBJECTS: DerivativesInvestment AdvisersOperations RE: ICI Files Comment Letter with CFTC on Proposed Amendments to Uncleared Swap Margin Requirements ICI has filed a comment letter with the CFTC on the...