CCO (Chief Compliance Officer) Content

[30502] January 4, 2017 TO: ICI Members Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance RE: Medallion Signature Guarantee Considerations and Alternatives White Paper We are pleased to announce the publication of a new white paper...

[30477] December 13, 2016 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee End Of Day Pricing Forum ETF (Exchange-Traded Funds) Committee ETF Advisory...

[30468] December 12, 2016 TO: ICI Members SUBJECTS: Compliance Fund Governance Investment Advisers RE: GAO Issues Report on Proxy Advisory Firms In November, the Government Accountability Office (“GAO”) submitted its report on proxy advisory firms’ role in voting proxies and corporate...

[30436] November 30, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Advisory Committee Operations CommitteeSecurities Operations...

[30380] November 2, 2016 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Investment Advisers RE: SEC Approves Amendments to FINRA Communications With the Public Rules The SEC has approved amendments to FINRA Rules 2210, 2213, and 2214. [1] The final amendments are largely...

[30371] November 1, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Operations Commitee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds...

[30319] October 17, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-16 RE: REGISTRATION OPEN FOR DECEMBER 7 CHIEF COMPLIANCE OFFICER COMMITTEE MEETING AND DECEMBER 6 DINNER As you may recall, the next meeting of the Institute’s Chief Compliance Officer Committee will be held in...

[30277] September 28, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-16CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-16CHIEF RISK OFFICER COMMITTEE No. 28-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 16-16COMPLIANCE MEMBERS No. 29-16DERIVATIVES MARKETS ADVISORY COMMITTEE No. 47...

[30258] September 23, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 25-16CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-16CHIEF RISK OFFICER COMMITTEE No. 27-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 15-16COMPLIANCE MEMBERS No. 28-16ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 21-16ETF...

[30212] September 7, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 14-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 20-16 ETF ADVISORY COMMITTEE No. 19-16 INVESTMENT ADVISER MEMBERS No. 16-16 INVESTMENT COMPANY DIRECTORS No. 24-16 SEC...