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April 2, 2020 TO: Chief Compliance Officer Committee RE: Registration Open for May 6 CCO Committee Call
As you may have heard, ICI recently cancelled the May 2020 Mutual Funds Compliance Conference and all related events due to the current pandemic. This includes our May 6th CCO Committee meeting. We have cancelled the registration of all persons who had registered for that meeting.
Because we won’t be able to meet in person, Frank Knox, the committee chair, Katie Primas, the committee vice chair, and I have decided to hold a conference call of the committee on Wednesday, May 6th from 3-5 p.m. (Eastern). Please register for the call no later than Friday, May 1st using this link: www.ici.org/reg/cco. Only those who register for the call will receive the call-in information and the call’s agenda. When you register, please indicate those issues that (1) you want to raise with your colleagues during the call; and (2) any regulatory updates you’d like to hear about. Obviously, the agenda will include a discussion of the challenges we’re all dealing with from working remotely.
In addition to discussing the above issues during the call, we are also going to invite representatives of the SEC’s Division of Investment Management and Enforcement and its Office of Compliance Inspections and Examinations (OCIE) to join us for the last 45 minutes of the call so they can update us on their activities since our last meeting on December 4th.
We remain optimistic that we’ll be able to have an in-person meeting of the Committee in the fall. That meeting is tentatively scheduled for December 17th.
Please don’t hesitate to let me know if I or my ICI colleagues can be of any assistance to you. Most importantly, stay safe, stay healthy and keep in touch!
Tamara K. Salmon
Associate General Counsel