SEC Rules Content

[32636] July 24, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Adopts Proxy Advice Rule Amendments and Supplemental Guidance for Investment Advisers On...

[32630] July 22, 2020 TO: ICI Members Investment Company Directors ICI Global Members ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: COVID-19 Financial Stability Money Market Funds Operations Portfolio Oversight Risk Oversight RE: COVID-19 and Financial Stability...

[32624] July 21, 2020 TO: ICI Members Chief Compliance Officer Committee Derivatives Markets Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers RE: NFA Extends Temporary Relief from...

[32611] July 17, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Bank Regulation Compliance International/Global Operations Recordkeeping RE: China Published Amended Fund Custody Rules to Allow Foreign Banks to be Fund Custodians...

[32613] July 17, 2020 TO: ICI Members Chief Compliance Officer Committee Derivatives Markets Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers RE: CFTC Staff Extends Temporary Relief from...

[32610] July 17, 2020 TO: Global Advocacy Coordination Advisory Committee Global Operations Advisory Committee Global Operations Advisory Committee - Asia ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SEC Rules Committee...

[32604] July 16, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: ICI Submits...

[32605] July 16, 2020 TO: Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee SEC Rules Committee Small Funds Committee RE: SEC Proposes to Increase Form 13F Reporting Threshold to $3.5 Billion...

[32602] July 15, 2020 TO: ICI Global Members ESG Task Force EU Sustainable Finance Strategy Working Group ICI Global Regulated Funds Committee SUBJECTS: Disclosure Distribution ESG International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ICI Global's Final Response to...

[32599] July 14, 2020 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Updates from the Financial Stability Board, Bank of England, and Federal Reserve Bank of New York We wanted to provide an...