CCO (Chief Compliance Officer) Content

[29110] June 19, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-15 INTERNAL SALES MANAGERS ROUNDTABLE No. 5-15 SALES AND MARKETING COMMITTEE No. 4-15 SEC RULES COMMITTEE No. 19-15...

[29090] June 15, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-15 CHIEF RISK OFFICER COMMITTEE No. 18-15 COMPLIANCE ADVISORY COMMITTEE No. 6-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 45-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 15...

[29068] June 5, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-15 CHIEF RISK OFFICER COMMITTEE No. 17-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-15 COMPLIANCE ADVISORY COMMITTEE No. 5-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 41...

[29057] June 4, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-15 CHIEF RISK OFFICER COMMITTEE No. 16-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-15 COMPLIANCE ADVISORY COMMITTEE No. 4-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 39...

[29045] June 2, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 10-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-15 CHIEF RISK OFFICER COMMITTEE No. 14-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-15 COMPLIANCE ADVISORY COMMITTEE No. 3-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 38...

[29024] May 27, 2015 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 3-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-15 SEC RULES COMMITTEE No. 12-15 SMALL FUNDS COMMITTEE No. 7-15 RE: FINRA PROPOSES AMENDMENTS TO COMMUNICATIONS WITH...

[28975] May 12, 2015 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-15 RE: SERVICE PROVIDER OVERSIGHT RESOURCES AVAILABLE TO CCO COMMITTEE MEMBERS ON THE ICI'S CCO COMMITTEE WEBPAGE   As you may recall, earlier this year, the Institute asked members of the CCO Committee to share with...