CCO (Chief Compliance Officer) Content

  [26011] April 2, 2012 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-12 COMPLIANCE ADVISORY COMMITTEE No. 1-12 RE: JIM DAVIS (1952-2012)   It is with great sadness that I am writing to inform you of the untimely death of James M. Davis, the Director of Global Compliance for Franklin...

[25979] March 13, 2012 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-12 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-12 END OF DAY PRICING FORUM No. 3-12 SEC RULES COMMITTEE No. 18-12 SMALL FUNDS COMMITTEE No. 8-12 RE: SEC STAFF INQUIRY ON LEVEL 2 SECURITY VALUATION PROCESS   We understand...

  [25965] March 7, 2012 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-12 COMPLIANCE ADVISORY COMMITTEE No. 1-12 RE: SPECIAL CCO/COMPLIANCE JOINT MEETING TO BE HELD MAY 9TH DURING THE ICI COMPLIANCE PROGRAMS CONFERENCE; RSVPS DUE BY MAY 1ST   A joint meeting of the ICI’s CCO and...

[25962] March 5, 2012 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-12 INVESTMENT ADVISER MEMBERS No. 2-12 TRANSFER AGENT ADVISORY COMMITTEE No. 16-12 RE: 529 PLANS AND THE SEC’S PAY-TO-PLAY RULE   As you may recall, last September the Institute was successful in obtaining no-action...

  [25888] February 10, 2012 TO: SEC RULES COMMITTEE No. 12-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 7-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 7-12 ETF ADVISORY COMMITTEE No. 3-12 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-12 SMALL FUNDS COMMITTEE No. 4-12 RE: CFTC ADOPTS...

[25801] January 17, 2012 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-12 RE: SCHEDULE OF QUARTERLY CCO COMMITTEE CALLS FOR 2012   For planning purposes, please note that the quarterly calls of the ICI’s CCO Committee have been scheduled on each of the following Thursdays from 2-3:30 p...

[25745] December 27, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-11 RE: WEBCAST OF SEC NATIONAL CCOUTREACH ON JANUARY 31ST   As we previously informed you, the SEC will be hosting its next National CCOutreach for chief compliance officers of federally-registered investment...

[25717] December 15, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-11 RE: FEBRUARY 1ST CCO COMMITTEE MEETING; ATTENDEES MUST RSVP BY REGISTERING FOR THE MEETING NO LATER THAN WEDNESDAY, JAN. 4TH   As we previously informed you, the Institute’s CCO Committee will meet in...

  [25625] November 7, 2011 TO: ACCOUNTING/TREASURERS MEMBERS No. 28-11 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 77-11 COMPLIANCE MEMBERS No. 43-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 46-11 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No...

  [25579] October 25, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-11 RE: CCO COMMITTEE DATES TO SAVE - NEXT IN-PERSON MEETING SET FOR WEDNESDAY, FEB. 1st IN WASHINGTON, D.C.; NEXT CALL SET FOR DEC. 15th The SEC has informed the ICI that its October National CCOutreach program...