CCO (Chief Compliance Officer) Content

[31861] July 17, 2019 TO: ICI Members ICI Global Members Bank-Affiliated Member Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee SEC Rules Committee SUBJECTS: Portfolio Oversight Risk Oversight RE: ICI Comment Letter on Federal Reserve Proposal to...

[31855] July 15, 2019 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Internal Audit Committee...

[31844] July 10, 2019 TO: Bank-Affiliated Member Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee SEC Rules Committee RE: Your Feedback Requested on ICI Draft Comment Letter on Federal Reserve Board "Control" Proposal As we indicated previously, the...

[31839] July 8, 2019 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: CFA Institute Publishes Its Final 2020 GIPS Standards The CFA Institute [1] has issued its 2020 Global...

[31837] July 5, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Issues Concept Release on Securities Offering Exemptions; Call Scheduled for July 18 at 2 pm (ET) The Securities and Exchange Commission recently issued a concept release seeking comment on...

[31834] July 3, 2019 TO: ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ESMA Survey on "Short-Termism" and Sustainable Finance The European...

[31831] July 1, 2019 TO: Chief Compliance Officer Committee SEC Rules Committee Small Funds Committee RE: District Court Grants SEC Access to Documents an Adviser Claimed Were Subject to the Attorney-Client Privilege In a recent case in the U.S. District Court for the Southern...

[31826] June 26, 2019 TO: Bank-Affiliated Member Advisory Committee Chief Compliance Officer Committee SEC Rules Committee RE: Federal Reserve Proposal on "Control" Under Federal Banking Laws; Your Feedback Requested on Aspects Relevant to Regulated Funds The Federal Reserve Board has...

[31823] June 24, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting RE: SEC Adopts Amendments to Loan Provision; ICI Member Call Scheduled for July 11 at 2:00 pm (Eastern Time) The Securities...