Small Funds Content

[32959] December 3, 2020 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Money Market Funds Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory...

[32956] December 2, 2020 TO: Accounting/Treasurers Committee Advertising Compliance Advisory Committee Closed-End Investment Company Committee Disclosure Working Group ETF Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory...

[32952] December 1, 2020 TO: ICI Members Chief Compliance Officer Committee SUBJECTS: Compliance RE: OCIE Updates: The 2020 National Outreach Program; the Director's Views About CCOs; and OCIE's Risk Alert Containing Observations on Advisory Compliance Programs This memo is intended...

[32951] November 30, 2020 TO: ICI Members ICI Global Members ICI Global Tax Committee Tax Committee SUBJECTS: Fund Accounting & Financial Reporting International/Global Tax RE: ICI Global Submits Recommendations on Tax Issues for Indian 2021 Union Budget ICI Global submitted the...

[32950] November 30, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Extension of USD LIBOR and Further Information...

[32948] November 27, 2020 TO: Derivatives Markets Advisory Committee LIBOR Transition Working Group SEC Rules Committee SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Updates from the CFTC On November 24, 2020, CFTC Chairman Heath Tarbert issued a statement on...

[32942] November 24, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Disclosure Financial Stability Fixed Income Securities Fund Governance Money Market Funds Operations Risk Oversight Trading and Markets RE: Chairman Clayton Speech Reviews Tenure, Suggests Areas for...

[32941] November 24, 2020 TO: Chief Compliance Officer Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: SEC Adopts Rules to Accommodate Electronic Signatures On November 17, 2020, the SEC published a release announcing that...

[32939] November 23, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SUBJECTS: Compliance Disclosure ESG International/Global Investment Advisers RE: Asia ESG: Summary of HK SFC Consultation on Climate Risk...

[32933] November 20, 2020 TO: 1940 Act Derivatives Working Group Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee...