Small Funds Content

[33241] March 17, 2021 TO: ICI Members Accounting/Treasurers Committee ESG Advisory Group ESG Task Force Proxy Working Group SEC Rules Committee SUBJECTS: Disclosure ESG Fees and Expenses Investment Advisers RE: Speech by SEC Acting Chair Lee on Disclosure of Fund Proxy Voting On...

[33194] March 15, 2021 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: ICI Submits Response to UK Treasury Consultation on Safe Harbours This week, ICI submitted a response to the HM Treasury (HMT)...

[33187] March 12, 2021 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee ICI Global Tax Committee Tax Committee SUBJECTS: International/Global Tax RE: Request to Treasury and IRS for Additional Guidance for RICs Receiving EU Reclaims The...

[33181] March 12, 2021 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: SEC Staff...

[33177] March 11, 2021 TO: ICI Members ICI Global Members ICI Global Tax Committee Tax Committee SUBJECTS: International/Global Tax RE: IRS Form 6166, Certification of US Tax Residency - Status Update The Investment Company Institute was recently informed by the Internal Revenue...

[33172] March 9, 2021 TO: ICI Members SUBJECTS: Compliance Fees and Expenses Intermediary Oversight Operations Transfer Agency RE: Action Requested - Register to Participate in 2021 ICI Mutual Fund Transfer Agents Trends & Billing Practices Survey The Investment Company Institute...

[33161] March 5, 2021 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: UK Financial Conduct Authority Formally...

[33158] March 4, 2021 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee Internal Audit Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering...

[33152] March 3, 2021 TO: ICI Members Management Company Tax Subcommittee Tax Committee SUBJECTS: Fund Accounting & Financial Reporting Privacy Tax RE: ICI Submits Letter on IRS Form SS-4 Responsible Party Requirements The Investment Company Institute submitted the attached letter...

[33151] March 3, 2021 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Security Valuation Operations Committee SUBJECTS: Audit and Attest Audit Committees Fund Accounting & Financial Reporting RE: SEC FAQ on Rescission of Auditing Guidance in ASR 118 The...