CCO (Chief Compliance Officer) Content

[25577] October 24, 2011 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 48-11 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-11 COMPLIANCE ADVISORY COMMITTEE No. 5-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 41-11 ETF (EXCHANGE-TRADED FUNDS)...

[25492] September 15, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-11 RE: DECEMBER CALL OF CCO COMMITTEE MOVED TO THURSDAY, DECEMBER 15 FROM 1-2:30 P.M. (EASTERN)   Due to a scheduling conflict with the ICI’s Securities Law Developments Conference, we have moved the December...

[25463] September 6, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-11 RE: SEC ISSUES CONCEPT RELEASE ON FUNDS’ USE OF DERIVATIVES; CONFERENCE CALL WEDNESDAY, SEPTEMBER 21   The Securities and Exchange Commission has published a concept release and request for comments on a wide...

  [25439] August 29, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-11 RE: ICI OCTOBER CCO COMMITTEE MEETING INDEFINITELY POSTPONED IN LIGHT OF SEC INDEFINITELY POSTPONING THEIR OCTOBER CCOUTREACH   By memorandum dated August 16, 2011, we notified you that the SEC had scheduled...

  [25415] August 16, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-11 RE: CCO COMMITTEE DATES TO SAVE - NEXT IN-PERSON MEETING SET FOR WEDNESDAY, OCT. 26TH IN WASHINGTON, D.C.; NEXT CALL SET FOR SEPT. 8TH   The next in-person meeting of the Institute’s CCO Committee has been...

  [25277] June 14, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-11 RE: DATE CHANGE FOR JULY AND SEPTEMBER COMMITTEE CONFERENCE CALLS: NEW DATES ARE JULY 14 AND SEPTEMBER 8   Please note that, due to scheduling conflicts, we have needed to move the dates for the July and...

[25199] May 18, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-11 RISK MANAGEMENT COMMITTEE No. 5-11 SEC RULES COMMITTEE No. 50-11 RE: DRAFT LETTER ON PROPOSED RULES ON INCENTIVE-BASED COMPENSATION ARRANGEMENTS; COMMENTS REQUESTED...

  [25184] May 12, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-11 SEC RULES COMMITTEE No. 46-11 SMALL FUNDS COMMITTEE No. 18-11 RE: FINRA SEEKS TO ADOPT AMENDMENTS TO CASH COMPENSATION AND REVENUE SHARING DISCLOSURE RULES...

  [25035] March 21, 2011 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-11 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-11 INVESTMENT ADVISERS COMMITTEE No. 3-11 TRANSFER AGENT ADVISORY COMMITTEE No. 21-11 RE: SEC SEEKS COMMENT ON REQUIRING PAYMENT AGENTS TO PROVIDE NOTICE OF UNCASHED CHECKS...

  [25004] March 4, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-11 RISK MANAGEMENT COMMITTEE No. 3-11 SEC RULES COMMITTEE No. 20-11 RE: SEC PROPOSES RULES ON INCENTIVE-BASED COMPENSATION ARRANGEMENTS; CONFERENCE CALL ON FRIDAY...