Small Funds Content

On March 18, 2021, the US Securities and Exchange Commission (SEC or Commission) adopted interim final form amendments to implement the disclosure and submission requirements of the Holding Foreign Companies Accountable Act (HFCA Act), which go into effect on May 5, 2021. The SEC...

[33399] March 29, 2021 TO: ICI Members ICI Global Members SUBJECTS: Audit and Attest Compliance Disclosure International/Global RE: SEC Adopts Form Amendments to Implement the Disclosure and Submission Requirements of the Holding Foreign Companies Accountable Act The US Securities and...

[33510] April 28, 2021 TO: ICI Members Operations Committee Pension Committee Pension Operations Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Pension Tax RE: ICI Joins Other Trades in Asking IRS for Changes to Draft Forms W-4P and W-4R The attached letter, signed by...

[33503] April 26, 2021 TO: ICI Members SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Staff Updates Fund Reporting FAQs to Address the Computation of Certain Securities Lending Information on Form N-CEN The Division of Investment Management of the...

[33501] April 26, 2021 TO: Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Member Call to Discuss the SEC's Re-Opening of the Universal Proxy Proposal Comment Period - Tuesday, May 4 at 1 pm (Eastern) As previously reported, the Securities and...

[33500] April 26, 2021 TO: Small Funds Committee RE: ICI Small Funds Shop Talk, Wednesday May 26, 2021 2:00 p.m.-3:00 p.m. ET The Investment Company Institute?s next Small Funds Committee ?Shop Talk? will take place on Wednesday May 26, 2021 2:00 p.m.?3:00 p.m. ET Meeting Registration...

[33499] April 26, 2021 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee RE: Member Call to Discuss NYSE's Proposed Rule Change Limiting Listed Closed...

[33497] April 24, 2021 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: European Commission...

[33495] April 23, 2021 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: Japan Amends the Financial Instruments and Exchange Act to Attract Foreign Asset Managers Under the leadership of Mr. Yoshihide...

[33475] April 16, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension RE: DOL Issues...