Small Funds Content

[33041] January 13, 2021 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: International/Global Operations RE: China Enacts Countermeasures Against Recent Foreign Sanctions In response to a wave of sanctions imposed by the US Government...

[33037] January 12, 2021 TO: Small Funds Committee RE: Mark Your Calendar - Revised 2021 Small Funds Committee Meetings Considering the ongoing pandemic, the Small Funds Committee is planning virtual meetings in 2021. Input from members indicate that short sessions spread throughout...

[33036] January 12, 2021 TO: ICI Members SUBJECTS: Compliance Disclosure Transfer Agency RE: ICI Letter on NYSE Proposal to Move Responsibility to FINRA for Processing Fee Schedule Attached is a letter that the ICI filed with the SEC, supporting the New York Stock Exchange’s proposed...

[33027] January 7, 2021 TO: ICI Members Bank, Trust and Retirement Advisory Committee Operations Committee Pension Committee Pension Operations Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Pension RE: Retirement Provisions Included in Year-End...

[33020] January 6, 2021 TO: Small Funds Committee RE: ICI Small Funds Audit Trends, Tuesday, February 16, 2021 1:00-2:00 p.m. ET The Investment Company Institute’s Small Funds Committee webinar “Audit Trends and Observations” will take place on February 16, 2021 from 1:00 - 2:00 p.m...

[33022] January 6, 2021 TO: ICI Members Tax Committee SUBJECTS: Tax RE: IRS Finalizes Regulations Permitting Section 163(j) Interest Dividends The Treasury Department and the Internal Revenue Service (IRS) have finalized regulations that permit regulated investment companies (RICs) to...

[33021] January 5, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33016] January 4, 2021 TO: ICI Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SUBJECTS: Advertising Compliance Disclosure Investment Advisers Operations Recordkeeping RE: SEC Adopts Amendments to Advisers Act...

[33006] December 22, 2020 TO: ICI Members Tax Committee SUBJECTS: Tax RE: IRS Issues Final Regulations Under Section 451(b) on Recognition of Income The Internal Revenue Service (IRS) and the Treasury Department have finalized regulations under section 451(b) regarding the recognition...

On December 21, 2020, Securities and Exchange Commission (“Commission”) Chairman Jay Clayton issued a statement announcing that the Commission’s Division of Trading and Markets released its staff report on the Fixed Income Market Structure Advisory Committee’s work over the past year...