CCO (Chief Compliance Officer) Content

[31320] August 7, 2018 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee...

[31314] August 6, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Intermediary Oversight Investment Advisers Operations Transfer Agency RE: SEC Announces Staff Roundtable on the Proxy Process In a July 30 statement, SEC...

[31293] July 19, 2018 TO: Chief Compliance Officer Committee Operations Committee SEC Rules Committee Technology Committee RE: California Enacts New Privacy Law; ICI Creating a Working Group to Discuss the Law's Impact on Funds On June 28th, California Governor Jerry Brown signed into...

[31279] July 13, 2018 TO: ICI Members AML Compliance Working Group Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Money Market Funds Advisory Committee Money Market Working Group Operations Committee SEC Rules Committee...

[31285] July 12, 2018 TO: ICI Members Chief Compliance Officer Committee Small Funds Committee SUBJECTS: Compliance Investment Advisers RE: SEC's OCIE Publishes a Risk Alert on Compliance Issues Related to Best Execution by Investment Advisers Yesterday the SEC’s Office of Compliance...

[31280] July 9, 2018 TO: ICI Members SUBJECTS: Advertising Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Investment Advisers Operations RE: ICI Submits Comment Letter on SEC's FAIR Act Rule Proposal In May the...

[31281] July 9, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting RE: ICI and IDC Submit Joint Comment Letter on SEC Loan Rule Proposal On May 2, the Securities and Exchange Commission issued...

[31274] July 3, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Adopts...

[31269] June 29, 2018 TO: Chief Compliance Officer Committee RE: New Committee Leadership At our May 2018 meeting, we informed ICI’s CCO Committee that it would be the last meeting chaired by Nancy Morris of Wellington due to her impending retirement. It is with mixed emotions that I...

[31270] June 29, 2018 TO: ICI Members SEC Rules Committee Small Funds Committee SUBJECTS: Compliance Disclosure RE: SEC Finalizes iXBRL Requirements The Commission voted on June 28 to require the use of Inline eXtensible Business Reporting Language (iXBRL) format for the submission of...