CCO (Chief Compliance Officer) Content

[32350] April 3, 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 Pension...

[32348] April 2, 2020 TO: Chief Compliance Officer Committee RE: Registration Open for May 6 CCO Committee Call As you may have heard, ICI recently cancelled the May 2020 Mutual Funds Compliance Conference and all related events due to the current pandemic. This includes our May 6th...

[32343] April 1, 2020 TO: ICI Global Members CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee SUBJECTS: Compliance...

[32340] April 1, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Advertising Compliance Disclosure Distribution RE: SEC Proposes Further Changes to the Exempt Offering Framework and Amendments to the Confidentiality Standard in Forms The Securities and Exchange Commission...

[32344] April 1, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance Investment Advisers Systemic Risk RE: ICI Files Comment Letter on Volcker Rule Reform Proposal As we previously informed you, the five Agencies responsible for implementing Section 13 of the Bank Holding...

[32338] March 31, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance International/Global Investment Advisers RE: US Federal Reserve Delays Effective Date for Final Rule on "Control" Determinations Under Certain Banking Laws As we previously informed you, the US Federal...

[32339] March 31, 2020 TO: ICI Global Members ICI Global Regulated Funds Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers Privacy State Issues RE: ICI Global Letter to Canadian...

On March 23, the US Senate voted 96-0 to approve the Coronavirus Aid, Relief, and Economic Security (CARES) Act. The US House of Representatives then followed suit and approved this sweeping legislation by voice vote this afternoon. President Trump is expected to sign it into law...

[32331] March 27, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Money Market Funds Operations Transfer Agency Unit Investment Trusts (UITs) RE: SEC's Office of...

[32330] March 27, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations Transfer Agency Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Staff Statement...