CCO (Chief Compliance Officer) Content

[29586] December 22, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 32-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-15 BROKER/DEALER ADVISORY COMMITTEE No. 56-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-15 COMPLIANCE ADVISORY COMMITTEE No. 11-15 DERIVATIVES MARKETS ADVISORY...

[29480] November 9, 2015 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-15 RE: THE SEC’S DIRECTOR OF ENFORCEMENT SHARES HIS VIEWS REGARDING ENFORCEMENT PROCEEDINGS INVOLVING CCOS   Last week, the SEC’s Director of Enforcement, Andrew Ceresney, gave a keynote address that discussed how...

[29398] October 5, 2015 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-15 RE: REGISTRATION OPEN FOR DEC. 17  CCO COMMITTEE MEETING AND DEC. 16 DINNER   As you may recall, the Institute’s Chief Compliance Officer Committee will meet in Washington, D.C. on Thursday, December 17 at the...

[29339] September 14, 2015 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 28-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 23-15 ETF ADVISORY COMMITTEE No. 22-15 SEC RULES MEMBERS No. 53-15 SMALL FUNDS MEMBERS No. 40-15 UNIT INVESTMENT TRUST...

[29298] August 31, 2015 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 20-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 22-15 ETF ADVISORY COMMITTEE No. 21-15 SEC RULES COMMITTEE No. 27-15 SMALL FUNDS COMMITTEE No. 26-15 UNIT INVESTMENT...

[29163] July 14, 2015 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-15 RE: CHANGES IN COMMITTEE LEADERSHIP EFFECTIVE JULY 15   It is with mixed emotions that I am informing you of a change in the leadership of the CCO Committee that will take place next week.  Bob Zakem, the Chair of...

[29164] July 10, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 19-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 23-15 BROKER/DEALER ADVISORY COMMITTEE No. 32-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-15 END OF DAY PRICING FORUM No. 4-15 INDEPENDENT DIRECTORS COUNCIL No. 1-15...

[29169] July 10, 2015 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-15 RE: ENHANCEMENTS TO THE ICI'S CCO COMMITTEE PAGE!   I am pleased to announce that we have made enhancements to the CCO Committee page on ICI’s website. * While the Committee page has long had contact information...

[29147] July 6, 2015 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-15 INVESTMENT ADVISER MEMBERS No. 17-15 SMALL FUNDS MEMBERS No. 32-15 RE: SEC DIVISION OF INVESTMENT MANAGEMENT ISSUES GUIDANCE RELATING TO TREATMENT OF BLIND TRUSTS UNDER ADVISERS' CODES OF ETHICS   The SEC’s Division...

[29140] July 2, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 5-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 23-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-15 COMPLIANCE MEMBERS No. 22-15 INTERNAL SALES MANAGERS ROUNDTABLE No. 6-15 SALES AND MARKETING COMMITTEE No. 5-15 SEC...