CCO (Chief Compliance Officer) Content

[32646] July 29, 2020 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Disclosure Working Group Fixed...

[32639] July 28, 2020 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: European Union Benchmark Regulation Proposal We wanted to alert you to recent developments from the European Commission in the...

[32640] July 28, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent Advisory...

[32636] July 24, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Adopts Proxy Advice Rule Amendments and Supplemental Guidance for Investment Advisers On...

[32624] July 21, 2020 TO: ICI Members Chief Compliance Officer Committee Derivatives Markets Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers RE: NFA Extends Temporary Relief from...

[32611] July 17, 2020 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Bank Regulation Compliance International/Global Operations Recordkeeping RE: China Published Amended Fund Custody Rules to Allow Foreign Banks to be Fund Custodians...

[32613] July 17, 2020 TO: ICI Members Chief Compliance Officer Committee Derivatives Markets Advisory Committee Investment Advisers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers RE: CFTC Staff Extends Temporary Relief from...

[32604] July 16, 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: ICI Submits...

[32599] July 14, 2020 TO: ICI Members ICI Global Members LIBOR Transition Working Group SUBJECTS: Compliance Financial Stability Operations RE: LIBOR Update: Updates from the Financial Stability Board, Bank of England, and Federal Reserve Bank of New York We wanted to provide an...

[32598] July 13, 2020 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Operations Committee SUBJECTS: Cybersecurity RE: OCIE Publishes Risk Alert on Ransomware Last Friday, July 10th, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...