CCO Committee Resource Hub

The CCO Resource Center is provided only to members of ICI’s CCO Committee – no other staff within an ICI member firm is provided access to it. This is because the Resource Center was designed to provide Committee members useful information to assist them in the performance of their function as a CCO. The value of the Resource Center to CCOs is a function of the members’ willingness to share proprietary and confidential information with the Institute so we can, in turn, provide it to other CCOs through the Resource Center.  But for the willingness of members to share this proprietary and confidential information with the ICI, it would not be available to other members as a resource.  To protect the anonymity of members who share information with us, we make every attempt to redact any identifying information.

The continued value of the Resource Center is highly dependent upon CCOs who access this information ensuring that it is not shared outside of your complex.

This information is for our members’ use only and it is not intended to be shared with outside counsel, consultants, or third-parties. Access to the Resource Center is only made available to members on a password-protected basis.  Should the Institute determine that a member has shared information from the Resource Center outside their fund organization, the Institute reserves the right to cut off that member’s continued access to the Resource Center.

The Institute thanks each member of the Committee who has contributed information to the Resource Center and who contributes to it in the future! This Resource Center will remain a living resource and, as members continue to share additional information with us, we will continue to supplement the information available in the Resource Center.    

The information available to members in the Resource Center is organized by topic.  Clicking on the link to a topic will take you to a landing page with the resources related to that topic. The topics covered by the Resource Center are as follows:

• Examination-Related Documents, from the SEC’s Division of Examinations
• Enforcement: Document Requests from the SEC’s Enforcement Division
• FINRA Examination Information
• National Futures Association (NFA) Examination Documents
• Compilation of the Tables of Contents from Members’ Compliance Manuals
• Policies & Procedures: Members’ Compliance Policies and Procedures
• Oversight Resources: Members’ Oversight Resources, Including Questionnaires and Certifications
• Dashboards: Members’ Compliance Dashboards
• SEC Guidance: Guidance Published by the SEC’s Division of Investment Management
• Miscellaneous Resources, Including Cybersecurity Resources
• Deep Dive and Committee Presentation Resources