[32764] September 17, 2020 TO: ICI Members ICI Global Members ESG Task Force (Global) ESG Working Group (US) SUBJECTS: Disclosure ESG Financial Stability International/Global Investment Advisers Pension Valuation RE: CFTC's Climate Risk Report and Other Developments on ESG Disclosure...
[32748] September 9, 2020 TO: ICI Members ICI Global Members SUBJECTS: Audit Committees Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight International/Global Investment Advisers Risk Oversight RE: President's Working Group Submits...
The CFTC Divisions of Swap Dealer and Intermediary Oversight (DSIO), Market Oversight (DMO), and Clearing and Risk (DCR) recently revised and expanded previously-issued no-action letters that provide relief to swap dealers (SDs) and other market participants related to the transition...
[32736] September 2, 2020 TO: ICI Members SUBJECTS: Derivatives Disclosure Fund Accounting & Financial Reporting International/Global Portfolio Oversight RE: ICI Supplemental Comment Letter on SEC's Fund Names Rule As we previously informed you, the SEC published a release (“Release”)...
[32723] August 31, 2020 TO: ICI Members Tax Committee SUBJECTS: Fund Accounting & Financial Reporting Tax RE: ICI Submits Opposition Letter to NJ FTT Proposal ICI submitted the attached opposition letter to a New Jersey proposal (also attached) to impose a tax of a quarter of a cent (...
[32693] August 21, 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...
[32669] August 11, 2020 TO: ICI Members Tax Committee SUBJECTS: Fund Accounting & Financial Reporting State Issues Tax RE: ICI Opposition Letter - NY Stock Transfer Tax Proposal The ICI submitted the attached letter opposing a proposal (also attached) to reduce the NY stocker transfer...
[32660] August 5, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Advertising Closed-End Funds Disclosure Exchange-Traded Funds (ETFs) Fees and Expenses Fund Accounting & Financial Reporting Fund Governance Money Market Funds Operations Transfer Agency Unit Investment...
[32658] August 5, 2020 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee...
