CCO (Chief Compliance Officer) Content

[32422] April 27, 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 Issues Notice to Members Providing...

[32418] April 27, 2020 TO: ICI Members Closed-End Investment Company Committee SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Fees and Expenses Fund Accounting & Financial Reporting RE: SEC Adopts Closed-End Fund Offering Reform Rules; SEC Staff Withdraws...

[32417] April 24, 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 Issues Time-Limited No-Action...

[32413] April 24, 2020 TO: ICI Global Members Chief Compliance Officer Committee International Compliance Advisory Committee SUBJECTS: Compliance International/Global Operations RE: COVID 19 - UK FCA's Expectations for Wet-Ink Signatures In light of COVID-19 restrictions, the UK...

[32415] April 24, 2020 TO: ICI Members SUBJECTS: Audit Committees Compliance Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Money Market Funds Variable Insurance Products RE: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group The SEC announced today that it...

[32406] April 23, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure Operations Variable Insurance Products RE: SEC Extends EDGAR Filing Window on April 29 The Division of Investment Management recently announced that it will extend the EDGAR filing window on April 29, 2020, from 5...

[32409] April 23, 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 Transfer Agency Unit...

[32410] April 23, 2020 TO: ICI Global Members ESG Task Force ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESMA Issues Consultation on Draft...

[32404] April 22, 2020 TO: ICI Global Members SUBJECTS: Compliance International/Global Technology & Business Continuity RE: COVID 19 - Central Bank of Ireland's Measures for Asset Managers Recognising the challenges facing firms and market participants during this COVID 19 health...

[32401] April 21, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee RE: COVID 19 - Central Bank of Ireland's Measures for Asset Managers Recognising...