CCO (Chief Compliance Officer) Content

[28896] April 15, 2015 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 2-15 ACCOUNTING/TREASURERS MEMBERS No. 7-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-15 OPERATIONS MEMBERS No. 12-15 SMALL FUNDS MEMBERS No. 15-15 TRANSFER AGENT ADVISORY COMMITTEE No. 15-15 BANK, TRUST AND RETIREMENT...

[28806] March 10, 2015 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-15 RE: NEXT IN-PERSON MEETING OF ICI'S CCO COMMITTEE AND SUBCOMMITTEE WILL BE HELD IN WASHINGTON, D.C. ON MAY 6; REGISTER BY APRIL 17   Meeting Details – REGISTER BY APRIL 17 Registration link: www.ici.org/reg/cco The...

[28679] January 21, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 2-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 1-15 OPERATIONS MEMBERS No. 3-15 PRIMARY CONTACTS - MEMBER COMPLEX No. 1-15 SEC RULES MEMBERS No. 3-15 SMALL FUNDS MEMBERS No. 1-15...

[28622] December 29, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-14 CCO ADVISORY ISSUES SUBCOMMITTEE RE: SCHEDULE OF ICI CCO COMMITTEE AND CCO ADVISORY ISSUES SUBCOMMITTEE CALLS AND MEETINGS FOR 2015   Happy holidays to each of you! In anticipation of a new year beginning this...

[28546] December 2, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 30-14 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-14 END OF DAY PRICING FORUM No. 6-14 SEC RULES COMMITTEE No. 40-14 RE: VALUATION GUIDANCE INCLUDED IN SEC’s MONEY MARKET FUND RELEASE   Earlier this year, the SEC adopted...

[28395] September 23, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-14 OPERATIONS COMMITTEE No. 40-14 TRANSFER AGENT ADVISORY COMMITTEE No. 60-14 RE: ICI SURVEY ON INTERMEDIARY OVERSIGHT PRACTICES   A sub-group of ICI’s Chief Compliance Officer Committee, Operations Committee, and...