CCO (Chief Compliance Officer) Content

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Committee

CCO (Chief Compliance Officer) Committee

ICI’s Chief Compliance Officer (CCO) Committee consists of CCOs of ICI member firms. The Committee includes those persons who serve as a CCO of a fund, adviser, or both. The Committee provides a forum for its members to discuss and interact on a variety of issues relating to the CCO function in a fund complex.
ICI Default BG
Memo#
36034

ICI Submits Letter Requesting Changes to the SEC's Form N-PORT Amendments

Earlier today, ICI submitted the attached letter to Acting SEC Chairman Mark T. Uyeda requesting that the Commission further amend the Form N-PORT amendments adopted in August 2024 to: (i) eliminate the publication of each monthly Form N-PORT (including a fund's full portfolio...
ICI Default BG
Memo#
36004

ICI Cyber Incident Tabletop Exercise 2024 After-Action Report

[36004] January 30, 2025 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Committee Chief Risk Officer Committee Global Information Security Officer Committee - London Global Information Security Officer Committee - Tokyo Operational Resiliency...
ICI Default BG
White Paper

ICI Cyber Industry Tabletop Exercise 2024: After-Action Report

The asset management industry faces an escalating battle against cybercriminals employing increasingly sophisticated tactics. From state-sponsored attacks to ransomware-as-a-service (RaaS) platforms enabling low-skilled criminal infiltrations, the threat landscape is more complex than...
ICI Default BG
Memo#
35996

IRS Notices of Tax Information Breach

Several ICI member firms have reported receiving notifications from the Internal Revenue Service (IRS) informing them that their funds' tax information was leaked as part of the "Littlejohn" data breach at the IRS. These notices state that a former IRS contractor "has been charged...
ICI Default BG
Memo#
35997

SEC Publishes Staff Accounting Bulletin No. 122; Rescinds SAB 121

On January 23, 2025, the SEC published Staff Accounting Bulletin No. 122 (SAB 122)[1] which rescinds the interpretive guidance included in Section FF of Topic 5 (Topic 5.FF) in the Staff Accounting Bulletin Series entitled Accounting for Obligations to Safeguard Crypto-Assets an...