CCO (Chief Compliance Officer) Content

[33004] December 22, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee...

[32999] December 18, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee Pension Operations...

[32985] December 16, 2020 TO: ICI Members SUBJECTS: Audit and Attest Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Issues ADI Addressing Risk Disclosure for Funds Investing in Emerging Markets The Division of Investment Management’s Disclosure Review and...

[32992] December 16, 2020 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Regulated...

[32988] December 16, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: Staff of...

[32965] December 4, 2020 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...

[32952] December 1, 2020 TO: ICI Members Chief Compliance Officer Committee SUBJECTS: Compliance RE: OCIE Updates: The 2020 National Outreach Program; the Director's Views About CCOs; and OCIE's Risk Alert Containing Observations on Advisory Compliance Programs This memo is intended...

[32950] November 30, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Extension of USD LIBOR and Further Information...

[32948] November 27, 2020 TO: Derivatives Markets Advisory Committee LIBOR Transition Working Group SEC Rules Committee SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Updates from the CFTC On November 24, 2020, CFTC Chairman Heath Tarbert issued a statement on...

[32941] November 24, 2020 TO: Chief Compliance Officer Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: SEC Adopts Rules to Accommodate Electronic Signatures On November 17, 2020, the SEC published a release announcing that...