[32254] March 2, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Disclosure Investment Advisers Trading and Markets RE: ICI Files Comment Letter with CFTC Supporting Prohibition on Post-Trade Name Give-Up In December, the Commodity Futures Trading...
[32222] February 20, 2020 TO: Derivatives Markets Advisory Committee RE: CFTC Proposes Amendments to SEF Regulations for Package Transactions, Error Trades, and Block Trades In January, the Commodity Futures Trading Commission (CFTC or “Commission”) approved a proposal (“Proposal”)...
[32211] February 13, 2020 TO: Derivatives Markets Advisory Committee RE: ICI Draft Comment Letter to CFTC on Post-Trade Name Give-Up - Your Comments Requested by February 24 In December, the Commodity Futures Trading Commission (CFTC or “Commission”) approved a proposed rule (...
[32167] January 22, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance Disclosure Investment Advisers Trading and Markets RE: US CFTC Market Risk Advisory Committee's Subcommittee's Planned Report on Climate-Related Financial and Market Risks The US CFTC’s Market Risk...
[32159] January 17, 2020 TO: Derivatives Markets Advisory Committee RE: CFTC Proposes Prohibition on Post-Trade Name Give-Up: Member Call on January 28 In December, the Commodity Futures Trading Commission (CFTC or “Commission”) approved a proposed rule (“Proposed Rule”) to prohibit...
[32095] December 11, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Transfer Agency Variable Insurance Products RE: ICI Summary of Fall 2019 Regulatory Flexibility Agendas for SEC and CFTC...
[32036] November 5, 2019 TO: Registered Fund CPO Advisory Committee RE: Save the Date: January 15 In-Person Meeting of ICI's Registered Fund CPO Advisory Committee, Featuring CFTC and NFA Speakers Please mark your calendars for an in-person meeting of the Registered Fund CPO Advisory...
[32035] November 5, 2019 TO: Registered Fund CPO Advisory Committee RE: Committee Call to Discuss ICI Meetings with CFTC Leadership and Plans for Future Engagement As we previously informed you, ICI had a series of meetings last month with senior leaders at the Commodity Futures...
[32020] October 22, 2019 TO: Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee RE: CFTC Proposes Amendments to Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants The CFTC recently...
