CCO (Chief Compliance Officer) Content

[31440] October 17, 2018 TO: Chief Compliance Officer Committee RE: SEC Provides No-Action Relief Permitting Fund Boards to Rely on Written Representations from CCOs in Lieu of Approving Transactions Effected Pursuant to Exemptive Rules On October 12, 2018, the staff of the SEC’s...

[31432] October 12, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Fund Governance RE: SEC Staff Issues No-Action Letter on Board Oversight of Affiliated Transactions We are pleased to inform you that, in response to a request from IDC, the staff of the SEC’s...

[31422] October 5, 2018 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Compliance Advisory Committee Investment Advisers Committee SUBJECTS: Compliance Investment Advisers Litigation & Enforcement RE: SEC Sanctions a Fund Adviser and its Portfolio...

[31421] October 4, 2018 TO: Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Small Funds Committee Technology Committee RE: SEC Sanctions Broker-Dealer/Adviser for Cyber...

[31407] September 25, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31386] September 13, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Fund Governance Investment Advisers Transfer Agency Unit Investment Trusts (UITs) Variable Insurance Products RE: SEC Staff Withdraws Proxy Advisory Firm Related Letters and Chairman Clayton...

[31363] August 30, 2018 TO: Chief Compliance Officer Committee SEC Rules Committee RE: SEC Sanctions Mutual Fund Advisers for Using Faulty Quant Models and Failing to Let Investors Know The SEC has settled an enforcement action with four affiliated firms – two investment advisers, a...

[31349] August 24, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31341] August 20, 2018 TO: Chief Compliance Officer Committee RE: Registration Open for October 26 CCO Committee Meeting and October 25 Committee Dinner As you may recall, the next meeting of the Institute’s Chief Compliance Officer Committee will be held from 9:00 a.m. to 3:00 p.m...