CCO (Chief Compliance Officer) Content

[29850] April 22, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-16 CHIEF RISK OFFICER COMMITTEE No. 10-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-16 COMPLIANCE ADVISORY COMMITTEE No. 3-16 INVESTMENT ADVISERS COMMITTEE No. 7-16 RISK ADVISORY COMMITTEE No. 1-16 SEC RULES...

[29791] March 28, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 4-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 9-16 BROKER/DEALER ASSOCIATE MEMBERS No. 3-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-16 CHIEF RISK OFFICER COMMITTEE No. 8-16 CLOSED-END INVESTMENT COMPANY MEMBERS No...

[29765] March 11, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-16 CHIEF RISK OFFICER COMMITTEE No. 5-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-16 COMPLIANCE ADVISORY COMMITTEE No. 2-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 6-16...

[29717] February 18, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-16 RE: NEXT IN-PERSON MEETING OF ICI’S CCO COMMITTEE AND SUBCOMMITTEE WILL BE HELD IN WASHINGTON, D.C. ON MAY 18   Registration link: http://www.ici.org/reg/cco The next in-person meeting of ICI’s Chief Compliance...

  [29685] February 2, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-16 RE: SPRING CCO COMMITTEE SCHEDULE - FEBRUARY CALLS AND MAY MEETING   The dates for the spring meeting and conference calls of ICI’s Chief Compliance Officer Committee have been set.  They are listed below. ...

As previously reported, the Securities and Exchange Commission (“SEC”) issued its proposed liquidity risk management rules for mutual funds and open-end ETFs (“funds”) in late September. SEC Chair White first discussed this liquidity initiative as part of a broader package of reforms...

[29628] January 12, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 2-16 BROKER/DEALER ADVISORY COMMITTEE No. 2-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-16 OPERATIONS COMMITTEE No. 2-16 SMALL FUNDS COMMITTEE No. 3-16 TRANSFER AGENT ADVISORY COMMITTEE No. 3-16 TAAC...

[29598] December 23, 2015 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 43-15 BROKER/DEALER ADVISORY COMMITTEE No. 57-15 OPERATIONS COMMITTEE No. 31-15 SMALL FUNDS COMMITTEE No. 36-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 22-15 RE: SEC SEEKS COMMENT ON EXTENSIVE REVISIONS...