CCO (Chief Compliance Officer) Content

[30686] April 28, 2017 TO: ICI Members Chief Compliance Officer Committee Closed-End Investment Company Committee SEC Rules Committee Small Funds Committee SUBJECTS: Closed-End Funds Compliance RE: SEC Staff Provides No-Action Position to Closed-End Feeder Fund from Paying Certain...

[30684] April 27, 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 RE: CFTC Staff Issues Exemptive Relief for CTAs to...

[30663] April 5, 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...

[30652] March 27, 2017 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Distribution Investment Advisers RE: ICI Submits Comment Letter on Proposed Amendments to FINRA Rule 2210 FINRA has issued a Regulatory Notice requesting comment on proposed amendments to Rule 2210...

[30647] March 20, 2017 TO: ICI Members SUBJECTS: ComplianceFees and ExpensesFund Accounting & Financial Reporting Intermediary Oversight Operations Transfer Agency RE: ACTION REQUESTED - Register to Participate in the 2017 ICI Mutual Fund Transfer Agents Trends & Billing Practices...

[30630] March 9, 2017 TO: Advertising Compliance Advisory Committee Chief Compliance Officer Committee Closed-End Investment Company Committee Internal Sales Managers Roundtable Sales and Marketing Committee SEC Rules Committee Small Funds Committee RE: ICI Draft Comment Letter on...

[30620] March 2, 2017 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Fees and Expenses Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Portfolio...

[30610] March 1, 2017 TO: Chief Compliance Officer Committee RE: Next In-Person Meeting of ICI's CCO Committee will be Held in Washington, DC on May 3 Registration link: www.ici.org/reg/cco The next in-person meeting of ICI’s Chief Compliance Officer (“CCO”) Committee, its Advisory...

[30602] February 24, 2017 TO: ICI Members AML Compliance Working Group Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Operations...

[30599] February 24, 2017 TO: ICI Members Chief Information Security Officer Advisory Committee Privacy Issues Working Group Technology Committee SUBJECTS: Compliance Privacy RE: New York Adopts Cybersecurity Regulation Effective March 1st The New York Department of Financial Services...