CCO (Chief Compliance Officer) Content

[28370] September 11, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-14 RE: REMINDER - DECEMBER 9 CCO COMMITTEE MEETINGS; REGISTRATION OPEN WITH LIMITED SPACE   As you may recall, the Institute’s CCO Committee will meet in Washington, D.C. on Tuesday, December 9th at ICI’s offices...

[28287]   July 31, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-14 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 48-14 SEC RULES COMMITTEE No. 31-14 RE: NEW ICI REGISTERED FUND CPO ADVISORY COMMITTEE - YOUR RESPONSE REQUIRED TO JOIN; INITIAL...

[28195] June 18, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-14 RE: DATE OF NEXT IN-PERSON CCO COMMITTEE MEETING AND DINNER HAS BEEN MOVED TO TUESDAY, DECEMBER 9 - PLEASE SAVE THIS NEW DATE   As you know, we had planned to hold the next in-person meeting of ICI’s CCO Committee...

[27999] March 28, 2014 TO: SEC RULES COMMITTEE No. 11-14 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-14 INTERNATIONAL COMMITTEE No. 8-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 5-14 ETF ADVISORY COMMITTEE No. 3-14 RE: RUSSIA SANCTIONS AND POTENTIAL EFFECTS ON INVESTMENT COMPANIES  ...

[27974] March 24, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-14 RE: PAULINE SCALVINO RESIGNS AS CHAIR OF ICI'S CCO COMMITTEE; ROBERT ZAKEM OF RIDGEWORTH APPOINTED NEW CHAIR   Due to her promotion to Head of Corporate Strategy at The Vanguard Group, which was effective March...

[27951]   March 13, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-14 RE: MEETINGS OF ICI’S CCO AND CCO ADVISORY ISSUES SUBCOMMITTEE SCHEDULED FOR TUESDAY, MAY 20 BEFORE THE ICI COMPLIANCE PROGRAMS CONFERENCE; RSVP BY FRIDAY, MAY 2   The Institute has scheduled the next in-person...

[27829] January 13, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-14 CCO ADVISORY ISSUES SUBCOMMITTEE RE: SCHEDULE OF ICI CCO COMMITTEE AND SUBCOMMITTEE CALLS AND MEETINGS FOR 2014   Before we get too far into 2014, I wanted to let you know the dates of the quarterly calls of ICI...

[27773] December 16, 2013 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-13 COMPLIANCE MEMBERS No. 46-13 INVESTMENT ADVISER MEMBERS No. 76-13 RE: SEC COMPLIANCE OUTREACH PROGRAM TO BE HELD ON JANUARY 30th   The SEC has announced that it is planning to hold its next Compliance Outreach...

[27769] December 13, 2013 TO: BOARD OF GOVERNORS No. 15-13 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-13 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-13 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 87-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 37-13 ETF ADVISORY COMMITTEE No. 37-13...

[27700] November 13, 2013 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-13 RE: DECEMBER 12 CCO COMMITTEE, SUBCOMMITTEE MEETING; DECEMBER 11 DINNER; REGISTER EARLY DUE TO LIMITED SPACE   As we previously informed you, the Institute’s CCO Committee will meet in Washington, D.C. on...