Operations Content

[31787] June 3, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Distribution Operations...

[31770] May 21, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: (Australia) Proposed Revisions to APRA's Prudential Standard SPS 515 On 30 April 2019, the Australian Prudential Regulation...

[31761] May 16, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: Monetary Authority of Singapore (MAS) Issues Further Consultation on the Variable Capital Companies (VCC) Regime On April 30, 2019...

[31754] May 9, 2019 TO: Chief Risk Officer Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Operations Committee Securities Operations Advisory Committee RE: Follow-up on TMPG Proposed Best Practices As discussed on our member call, the Treasury Market...

[31745] May 6, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee International Operations Advisory Committee SUBJECTS: International/Global Operations Trading and Markets RE: HK SFC Joint Consultation Paper on a Revised Operational Model for...

[31737] April 29, 2019 TO: Chief Risk Officer Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Operations Committee Securities Operations Advisory Committee RE: Member Call on May 9 to Discuss TMPG Proposed Best Practices In July, the Treasury Market...

[31725] April 23, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance...

[31708] April 10, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Staff Issues Liquidity FAQ on Extended Holiday...

[31705] April 9, 2019 TO: ICI Members Investment Company Directors Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Investment Advisers Operations Trading and Markets RE: CFTC Adopts Amendments to Notification Requirements for Segregation of Margin...