[29169]
July 10, 2015
TO:
CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-15
RE:
ENHANCEMENTS TO THE ICI'S CCO COMMITTEE PAGE!
I am pleased to announce that we have made enhancements to the CCO Committee page on ICI’s website. *
While the Committee page has long had contact information for the Committee members, information regarding upcoming meetings/calls, and other Institute information that may be of interest to members of the Committee, it did not provide much in the way of resources developed by or for the Committee. The enhancements to the page are intended to provide members ready access to such resources – including the various OCIE document request lists that members have provided to me. The resources available through the updated webpage include links for each of the following:
- The compilation of CCO Intermediary Resources put together by the Committee last year;
- The compilation of CCO Oversight Resources put together by the Committee earlier this year;
- A Subadviser Due Diligence developed by ICI and others;
- A library of OCIE document request lists, categorized by subject matter;
- Links to OCIE Priorities and the ICI memos summarizing them;
- Links to OCIE Risk Alerts and ICI memos summarizing them;
- Links to SEC Cybersecurity Resources;
- Links to the SEC’s IM Guidance and any ICI memos summarizing them; and
- A link to the Institute’s Information Security Resource Center.
By visiting the revamped Committee page, members will have ready access to all of this information!
We are planning to update this page as new information of interest to members becomes available. If there is other information you believe should be added to the page as a resource to members of the Committee, please let me know.
I would very much like to thank Melissa Quijada and Jennifer Odom of the ICI staff for their hard work in connection with this initiative. We hope you find the new page valuable and we welcome any feedback you have on it!
Tamara K. Salmon
Associate General Counsel
endnotes
* The CCO Committee page can be found at: https://www.ici.org/committees/chief_compliance_officer. The Committee page is password protected and only available to members of ICI’s CCO Committee. If you have forgotten your password, or don’t remember if you ever received a password, when you get to the page on the ICI website asking you for a password, click on “forgot password” and you will be provided one as a member of the Committee.