[31883] August 2, 2019 TO: Bank, Trust and Retirement Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee RE: SEC Sanctions Custodial Bank for Overcharging Mutual Funds for Custody Expenses The SEC recently...
[31816] June 21, 2019 TO: Bank, Trust and Retirement Advisory Committee Chief Risk Officer Committee Internal Audit Committee Risk Advisory Committee RE: OCC Publishes Its Semiannual Risk Perspective The National Risk Committee (NRC) of the Office of the Comptroller of the Currency...
[31815] June 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Internal Audit Committee Investment Advisers Committee Operations Committee Pension...
[31787] June 3, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Closed-End Investment Company Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Closed-End Funds Distribution Operations...
[31732] April 25, 2019 TO: Bank, Trust and Retirement Advisory Committee RE: Registration Open - Bank, Trust and Retirement Advisory Committee Meeting - June 5-6, 2019 The next Bank, Trust and Retirement Advisory Committee (BTRAC) meeting will take place on Wednesday, June 5, 2019...
[31661] March 21, 2019 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee International Operations Advisory Committee Operations Committee Series Trust Advisory Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...
[31634] March 1, 2019 TO: ICI Members SUBJECTS: Compliance Cybersecurity Disclosure Fund Accounting & Financial Reporting Investment Advisers Recordkeeping RE: SEC Adopts Rules Modifying the Timing for Filing Non-Public Form N-PORT Data The Securities and Exchange Commission recently...
