CCO (Chief Compliance Officer) Content

[27530] August 30, 2013 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-13 RE: SEC SANCTIONS PORTFOLIO MANAGER UNDER THE COMPLIANCE RULE FOR MISLEADING THE CCO REGARDING PERSONAL TRADING ACTIVITY   The Securities and Exchange Commission recently settled a case brought against a...

[27262] June 3, 2013 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-13 RE: PLEASE RESPOND TO UPCOMING SURVEY REGARDING ICI’S NEW CCO ADVISORY ISSUES SUBCOMMITTEE; SUBCOMMITTEE CALL SET FOR JULY 23rd   As you may know, the members of the CCO Committee have asked the ICI to create a...

[27143] April 1, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 9-13 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE - FUND MEMBERS BROKER/DEALER ADVISORY COMMITTEE - FUND MEMBERS CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-13 OPERATIONS MEMBERS No. 8-13 PAST PARTICIPANTS–ICI TRANSFER AGENT...

[27000] February 11, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 6-13 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 19-13 OPERATIONS MEMBERS No. 6-13 SEC RULES MEMBERS No. 21-13 SMALL FUNDS MEMBERS No. 14-13 RE: SIGN-UP PERIOD FOR ICI/IDC...

[26963] February 1, 2013 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-13 RE: SCHEDULE OF ICI CCO COMMITTEE CALLS AND MEETINGS FOR 2013   Before we get too far into 2013, I wanted to let you know the dates of the quarterly calls of ICI’s CCO Committee, as well as the dates for our in...

[26945] January 25, 2013 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-13 COMPLIANCE ADVISORY COMMITTEE No. 1-13 RE: SPECIAL CCO/COMPLIANCE JOINT MEETING TO BE HELD MAY 1ST BEFORE THE ICI COMPLIANCE PROGRAMS CONFERENCE; RSVPS DUE BY APRIL 12TH   A joint meeting of the ICI’s CCO and...

[26930] January 18, 2013 TO: ACCOUNTING/TREASURERS MEMBERS No. 5-13 CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-13 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-13 OPERATIONS MEMBERS No. 3-13 PRIMARY CONTACTS - MEMBER COMPLEX No. 1-13 SEC RULES MEMBERS No. 13-13 SMALL FUNDS MEMBERS No. 8...

[26676] November 9, 2012 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 67-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 51-12 BROKER/DEALER ADVISORY COMMITTEE No. 57-12 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-12 OPERATIONS COMMITTEE No. 44-12 SMALL FUNDS COMMITTEE No. 27-12 RE...

  [26642] November 2, 2012 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-12 RE: DECEMBER 13TH CCO COMMITTEE MEETING; SPACE IS LIMITED SO MEMBERS SHOULD REGISTER FOR THE MEETING ASAP TO ENSURE ADMITTANCE   As we previously informed you, the Institute’s CCO Committee will meet in...

[26542] October 3, 2012 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-12 RE: SAVE THE DATE: DECEMBER 13TH CCO MEETING IN WASHINGTON, D.C. TO COINCIDE WITH ICI CONFERENCE; DEC. 6TH CALL CANCELLED   In the past, the ICI scheduled an in-person fall meeting of the CCO Committee to coincide...