SEC Rules Content

[32404] April 22, 2020 TO: ICI Global Members SUBJECTS: Compliance International/Global Technology & Business Continuity RE: COVID 19 - Central Bank of Ireland's Measures for Asset Managers Recognising the challenges facing firms and market participants during this COVID 19 health...

[32403] April 21, 2020 TO: Accounting/Treasurers Committee Disclosure Working Group ESG Task Force SEC Rules Committee Small Funds Committee RE: Institute Draft Comment Letter on Names Rule Request for Comment On March 2, the Securities and Exchange Commission published a release...

[32402] April 21, 2020 TO: SEC Rules Committee RE: Reminder - April 23 Special Call of the SEC Rules Committee - Agenda Attached On Thursday, April 23rd, from 1-3 pm ET, the SEC Rules Committee will hold a members-only conference call to discuss COVID-19 related developments affecting...

[32398] April 20, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Intermediary Oversight Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ICI Files...

[32397] April 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...

[32396] April 17, 2020 TO: ICI Members SUBJECTS: Advisory Contract Renewal Audit Committees Closed-End Funds Compliance Disclosure RE: SEC Staff Issues FAQs Related to COVID-19 The staff of the Securities and Exchange Commission’s Division of Investment Management (“IM”) recently...

[32393] April 16, 2020 TO: Accounting/Treasurers Committee Derivatives Markets Advisory Committee LIBOR Transition Working Group SEC Rules Committee Securities Operations Advisory Committee Security Valuation Operations Committee RE: LIBOR Update: ISDA Announces Preliminary Results on...

[32395] April 16, 2020 TO: ICI Members ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: IOSCO Publishes Report on Sustainable...

[32388] April 14, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Operations Technology & Business Continuity Transfer Agency Variable Insurance Products RE: SEC Division of Investment Management...

[32382] April 13, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Trading and Markets RE: CFTC Extends Comment Deadlines for Several Open Proposals In light of challenges caused by the COVID-19 pandemic...