Small Funds Content

[32710] August 26, 2020 TO: ICI Members Disclosure Working Group Operations Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Operations RE: SEC Proposes Rule to Promote the Reliability and Integrity of EDGAR Submissions On August 21, the Securities and Exchange Commission...

[32703] August 25, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...

[32704] August 25, 2020 TO: ICI Global Members ESG Task Force (Global) EU ESG Disclosure Regulation Working Group EU Sustainable Finance Strategy Working Group ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution ESG International/Global Investment...

[32699] August 24, 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 Unit Investment Trust Committee...

[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...

[32695] August 21, 2020 TO: ICI Members ICI Global Members ICI Global Tax Committee Tax Committee SUBJECTS: International/Global Tax RE: Coalition Letter Supporting United Nations Model Tax Convention Draft Commentary on CIV Treaty Eligibility Ten collective investment vehicle (CIV)...

On August 14, the CFTC issued two proposals to amend certain margin requirements for non-cleared swaps for swap dealers (SDs) and major swap participants (MSPs) (collectively, “covered swap entities” or CSEs). The CFTC Global Markets Advisory Committee’s Subcommittee on Margin...

[32689] August 20, 2020 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee RE: Compliance Considerations Related...

[32674] August 14, 2020 TO: Accounting/Treasurers Committee Disclosure Working Group SEC Rules Committee Small Funds Committee RE: Your Feedback Requested by August 27 on ICI Draft Supplemental Comment Letter on Fund Names Rule As we previously informed you, the SEC published a...

[32671] August 13, 2020 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Information Security Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance COVID-19...