Securities Operations Advisory Group Content

[29373] September 29, 2015 TO: OPERATIONS COMMITTEE No. 21-15 SECURITIES OPERATIONS ADVISORY GROUP RE: SEC ISSUES LIQUIDITY RISK MANAGEMENT PROPOSAL FOR OPEN-END FUNDS; MEMBER CALL SCHEDULED FOR OCTOBER 15 AT 4:00 P.M. (ET)   The Securities and Exchange Commission (“SEC”) recently...

[29341] September 15, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 68-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 57-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 45-15 INTERNATIONAL COMMITTEE No. 50-15 REGISTERED FUND CPO ADVISORY COMMITTEE SECURITIES OPERATIONS ADVISORY...

[29322] September 4, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 67-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 44-15 REGISTERED FUND CPO ADVISORY COMMITTEE SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ESMA ISSUES CONSULTATION PAPER ON DRAFT IMPLEMENTING TECHNICAL STANDARDS...

[29311] September 2, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 66-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 43-15 REGISTERED FUND CPO ADVISORY COMMITTEE SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ESMA PUBLISHES DISCUSSION PAPER RELATING TO CLEARINGHOUSE MARGIN...

[29284] August 26, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 64-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 42-15 REGISTERED FUND CPO ADVISORY COMMITTEE SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI GLOBAL DRAFT COMMENT LETTER ON CFTC PROPOSAL ON THE APPLICATION OF...

[29274] August 21, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 62-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 21-15 ETF ADVISORY COMMITTEE No. 20-15 EQUITY MARKETS ADVISORY COMMITTEE No. 14-15 FIXED-INCOME ADVISORY COMMITTEE No. 27-15 ICI GLOBAL CAPITAL MARKETS UNION TASK...

[29260] August 14, 2015 TO: SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI GLOBAL RESPONDS TO EUROPEAN COMMISSION CONSULTATION ON EMIR IMPLEMENTATION REVIEW   Please find attached ICI Global’s cover letter and responses to the European Commission’s consultation paper on the review...

[29217] August 3, 2015 TO: INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 21-15 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: EU SECURITIES FINANCING TRANSACTIONS REGULATION   On 17 June 2015, the Presidency of the Council of the European Union (EU) and European Parliament reached...

[29175] July 13, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 54-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 35-15 REGISTERED FUND CPO ADVISORY COMMITTEE SECURITIES OPERATIONS ADVISORY COMMITTEE RE: CFTC PROPOSES RULE ON THE APPLICATION OF MARGIN REQUIREMENTS FOR UNCLEARED...

[29173] July 13, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 53-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 34-15 INTERNATIONAL MEMBERS No. 26-15 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI GLOBAL COMMENT LETTER TO SEC ON CROSS-BORDER SECURITY-BASED SWAP ACTIVITIES  ...