CCO (Chief Compliance Officer) Content

[31156] April 10, 2018 TO: Chief Compliance Officer Committee SEC Rules Committee RE: New York Attorney General Publishes Report on Mutual Fund Fees and Active Share On April 5th, the Investor Protection Bureau of the New York Attorney General’s Office (NYAGO) published a report...

[31136] March 16, 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 Proposes...

[31130] March 15, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Technology Committee SUBJECTS: Compliance Cybersecurity Litigation & Enforcement RE: SEC Charges Equifax CIO with...

[31125] March 12, 2018 TO: ICI Members ICI Global Members Chief Compliance Officer Committee Equity Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee International Operations Advisory Committee SEC Rules Committee SUBJECTS...

[31117] March 6, 2018 TO: ICI Members Investment Company Directors ICI Global MembersBank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Investment Advisers Transfer Agency RE: SEC Charges Broker-Dealer...

[31108] February 23, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee SUBJECTS: Compliance RE: Supreme Court Requires Whistleblowers to Report to the SEC to Rely on Dodd-Frank's Anti-Retaliatory Protections As you may recall, the...

[31106] February 23, 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 Extends...

[31092] February 16, 2018 TO: Chief Compliance Officer Committee Compliance Advisory Committee RE: Next In-Person Meeting of ICI's CCO Committee to be Held in Washington, DC, on May 22 The next in-person meeting of ICI’s Chief Compliance Officer Committee will be held at the...

[31091] February 16, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Advertising Anti-Money Laundering Compliance Cybersecurity Exchange-Traded Funds (ETFs) Fixed Income Securities Litigation & Enforcement Municipal Securities Variable Insurance Products...

[31089] February 15, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee Compliance Advisory Committee SUBJECTS: Compliance Cybersecurity RE: SEC Announces Next CCO Outreach Program Will Be Held in Washington, DC, on Thursday, April...