CCO (Chief Compliance Officer) Content

[33077] February 1, 2021 TO: ICI Members ICI Global Members ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: European Parliament Adopts Amendments to Benchmarks Regulation The European Union...

[33071] January 27, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33072] January 27, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33067] January 26, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33059] January 21, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33057] January 20, 2021 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: ICI Submits Responses to the ICE Benchmark Administration and UK Financial Conduct Authority Consultations This week, ICI...

[33045] January 14, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33036] January 12, 2021 TO: ICI Members SUBJECTS: Compliance Disclosure Transfer Agency RE: ICI Letter on NYSE Proposal to Move Responsibility to FINRA for Processing Fee Schedule Attached is a letter that the ICI filed with the SEC, supporting the New York Stock Exchange’s proposed...

[33021] January 5, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33016] January 4, 2021 TO: ICI Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee SUBJECTS: Advertising Compliance Disclosure Investment Advisers Operations Recordkeeping RE: SEC Adopts Amendments to Advisers Act...