CCO (Chief Compliance Officer) Content

On August 14, the CFTC issued two proposals to amend certain margin requirements for non-cleared swaps for swap dealers (SDs) and major swap participants (MSPs) (collectively, “covered swap entities” or CSEs). The CFTC Global Markets Advisory Committee’s Subcommittee on Margin...

[32689] August 20, 2020 TO: Chief Compliance Officer Committee Closed-End Investment Company Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee Proxy Working Group SEC Rules Committee Small Funds Committee RE: Compliance Considerations Related...

[32671] August 13, 2020 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Information Security Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance COVID-19...

[32670] August 11, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure Distribution Fixed Income Securities Trading and Markets RE: SEC Publishes Procedures for Nominating Members to the Investor Advisory Committee On August 5, the Securities and Exchange Commission published new...

[32668] August 11, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia SUBJECTS: Compliance Distribution International/Global Investment Advisers Operations RE: China Launches Consultation on Revising...

[32665] August 7, 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...

[32666] August 7, 2020 TO: ICI Global Members ESG Task Force (Global) ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure ESG International/Global Investment Advisers Portfolio Oversight Risk Oversight RE: Final Response to Monetary Authority of Singapore's (MAS)...

[32664] August 6, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee SUBJECTS: Compliance Derivatives International/Global Investment...

[32658] August 5, 2020 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee...

[32653] August 3, 2020 TO: Chief Compliance Officer Committee RE: Change in CCO Committee Leadership I am pleased to announce that, effective August 1st, Katie Primas, the CCO of Dodge & Cox, has become the new chair of ICI’s CCO Committee. Katie had previously served as the committee...