CCO (Chief Compliance Officer) Content

[31629] February 25, 2019 TO: Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: ICI Draft Comment Letter to SEC on Proxy Voting: Comments...

[31627] February 21, 2019 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Compliance RE: SEC Proposes Expanding Pre-Filing Communications with Certain Prospective Investors; Member Call...

[31590] February 1, 2019 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Fund Accounting & Financial Reporting Intermediary Oversight Investment Advisers Portfolio Oversight Risk...

[31584] January 29, 2019 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Disclosure Investment Advisers RE: ICI Files Comment Letter With CFTC on Post-Trade Name Give-Up In November, the Commodity Futures Trading Commission (CFTC or “Commission”...

[31572] January 23, 2019 TO: Chief Compliance Officer Committee Compliance Advisory Committee RE: Registration Open - May 1 CCO/Compliance Advisory Committee Meeting in Washington, DC The next in-person meeting of ICI’s Chief Compliance Officer and Compliance Advisory Committees will...

[31562] January 16, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Technology Committee SUBJECTS: Cybersecurity Litigation & Enforcement RE: SEC Brings Charges Related to 2016 EDGAR Hacking Case As you may recall, in...

[31539] January 2, 2019 TO: Chief Compliance Officer Committee Internal Audit Committee Small Funds Committee RE: FINRA Publishes Report on Selected Cybersecurity Practices Earlier this month, the Financial Industry Regulatory Authority (FINRA) published a Report on Selected...

[31538] December 31, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity Exchange-Traded Funds (ETFs) Fixed Income Securities...

[31533] December 21, 2018 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: ICI Comments on CFA Institute's GIPS Exposure Draft In late August the CFA Institute [1] issued...

[31526] December 20, 2018 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 Consultation on ESG Integration The European Securities and Markets...