CCO (Chief Compliance Officer) Content

[30787] July 20, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Cybersecurity Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight RE: ICI Submits Recommendations to SEC Chairman...

[30780] July 14, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Governance International/Global Investment Advisers Portfolio Oversight Risk Oversight Systemic Risk RE: IOSCO Issues Two...

[30778] July 14, 2017 TO: ICI Members ICI Global Members SUBJECTS: Advertising Compliance Disclosure Fund Accounting & Financial Reporting International/Global Investment Advisers RE: ICI Submits Comment Letter on GIPS 20/20 Consultation Paper The CFA Institute issued its GIPS® 20/20...

[30746] June 19, 2017 TO: ICI Members Investment Company Directors ICI Global Members Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Principal Underwriters Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30740] June 9, 2017 TO: ICI Members ICI Global Members SUBJECTS: Compliance Derivatives Disclosure Fund Accounting & Financial Reporting Pension Trading and Markets Variable Insurance Products RE: ICI Recommended Priorities for SEC ICI staff met with the SEC’s new Chairman, Jay...

[30728] June 5, 2017 TO: Advertising Compliance Advisory Committee Broker/Dealer Advisory Committee Principal Underwriters Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Draft ICI Comment Letter to FINRA in Response to Special Notice -...

[30718] May 25, 2017 TO: ICI Members Investment Company Directors ICI Global Members Derivatives Markets Advisory Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Recordkeeping Technology & Business Continuity Trading and Markets RE...

[30712] May 22, 2017 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Small Funds Committee Technology Committee SUBJECTS: Compliance Cybersecurity Investment Advisers Technology & Business Continuity RE: SEC Publishes Risk Alert...

[30688] May 1, 2017 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: FINRA Issues Guidance on Social Media and Digital Communications FINRA has issued a Regulatory Notice offering guidance on social networking websites and business...

[30685] April 28, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance State Issues RE: Indiana Converts from Sales-Based Fee to a Flat $900 Fee Effective July 1, 2017 Effective July 1, 2017, Subsections 23-19-3-2(2)(a) and (f) of Indiana’s Securities Act, which...