CCO (Chief Compliance Officer) Content

[31815] June 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Internal Audit Committee Investment Advisers Committee Operations Committee Pension...

[31801] June 11, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee...

[31799] June 11, 2019 TO: Chief Compliance Officer Committee RE: Save the Dates: September 5 CCO Committee Call; December 4 CCO Committee Meeting Please note that the next call of ICI’s CCO Committee will be held on Thursday, September 5th from 2:00-3:30 p.m. [Eastern]. In mid-August...

[31803] June 11, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Governance Intermediary Oversight Investment Advisers Operations Transfer Agency RE: ICI Submits Comment Letter to SEC Recommending Ways to Improve the Fund Proxy System In 2018...

[31798] June 10, 2019 TO: ICI Members ICI Global Members Global ESG Task Force ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Distribution International/Global Investment Advisers MiFID, EMIR, AIFMD, UCITS V RE: ICI's Response to IOSCO ESG...

[31794] June 10, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Disclosure Fund Accounting & Financial Reporting RE: ICI Files Comment Letter on SEC's Closed-End Fund Offering Reform Proposal Earlier today, ICI filed a comment letter on the Securities and Exchange...

[31790] June 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members Broker/Dealer Advisory Committee Pension Committee Pension Operations Advisory Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compensation/Remuneration...

[31765] May 16, 2019 TO: ICI Members ICI Global Members AML Compliance Working Group Chief Compliance Officer Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Anti-Money Laundering Compliance International/Global Litigation...

[31738] April 29, 2019 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance RE: ICI Files Comment Letter on SEC's Proposal Expanding Pre-Filing Communications with...

[31725] April 23, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance...