CCO (Chief Compliance Officer) Content

[33194] March 15, 2021 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: ICI Submits Response to UK Treasury Consultation on Safe Harbours This week, ICI submitted a response to the HM Treasury (HMT)...

[33181] March 12, 2021 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: SEC Staff...

[33172] March 9, 2021 TO: ICI Members SUBJECTS: Compliance Fees and Expenses Intermediary Oversight Operations Transfer Agency RE: Action Requested - Register to Participate in 2021 ICI Mutual Fund Transfer Agents Trends & Billing Practices Survey The Investment Company Institute...

[33161] March 5, 2021 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Derivatives Financial Stability Operations RE: LIBOR Update: UK Financial Conduct Authority Formally...

[33158] March 4, 2021 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee Internal Audit Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering...

[33143] March 2, 2021 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Disclosure Working Group ESG Advisory Group ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Disclosure ESG RE: SEC Investor Bulletin on ESG Funds On...

[33126] February 23, 2021 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Operations Committee SEC Rules Committee SUBJECTS: Litigation & Enforcement RE: SEC Files a Civil Action Against Morningstar Credit Ratings LLC for Violations of the Federal...

[33108] February 16, 2021 TO: ICI Members ICI Global Members ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: UK Treasury Issues Consultation on Safe Harbor for Benchmarks Regulation The UK HM...

[33091] February 5, 2021 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Fixed-Income Advisory Committee Investment Advisers Committee SEC Rules Committee Securities Operations Advisory Committee Small Funds Committee SUBJECTS: Audit and...

[33087] February 4, 2021 TO: Chief Compliance Officer Committee RE: CCO 2021 Committee Schedule We have set the dates for the virtual meetings/calls of ICI’s Chief Compliance Officer Committee for 2021. These dates are listed below. We are not planning to hold any in-person meetings...