CCO (Chief Compliance Officer) Content

  [24923] January 31, 2011 TO: ACCOUNTING/TREASURERS MEMBERS No. 2-11 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 12-11 OPERATIONS MEMBERS No. 3-11 PRIMARY CONTACTS - MEMBER COMPLEX No. 2-11 SEC RULES MEMBERS No. 22-11 SMALL FUNDS MEMBERS No...

  [24911] January 27, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-11 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-11 FIXED-INCOME ADVISORY COMMITTEE No. 11-11 INVESTMENT ADVISER MEMBERS No. 4-11 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 4-11 SEC RULES MEMBERS No. 19-11 SMALL...

[24871] January 12, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-11 INVESTMENT ADVISERS COMMITTEE No. 1-11 SEC RULES COMMITTEE No. 5-11 SMALL FUNDS COMMITTEE No. 4-11 RE: DRAFT ICI LETTER ON PROPOSED CHANGES TO FORM ADV AND AMENDMENTS TO “PAY-TO-PLAY” RULE   As you know, the...

  [24843] January 7, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-11 RE: SCHEDULE OF ICI'S 2011 CCO COMMITTEE CONFERENCE CALLS TO DISCUSS MEMBERS' COMPLIANCE ISSUES; IN-PERSON MEETING ON MAY 4TH   To provide members of the ICI’s CCO Committee a forum to discuss compliance issues...

  [24842] January 7, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-11 COMPLIANCE ADVISORY COMMITTEE No. 1-11 RE: JOINT CCO/COMPLIANCE COMMITTEE MEETING TO BE HELD MAY 4TH IN ADVANCE OF THE ICI’S 2011 COMPLIANCE PROGRAMS CONFERENCE   A joint meeting of the ICI’s CCO and Compliance...

  [24803]   December 20, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-10 RISK MANAGEMENT COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 66-10 SMALL FUNDS COMMITTEE No. 32-10 RE: ICI FILES COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES...

[24762] December 6, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-10 RISK MANAGEMENT COMMITTEE No. 19-10 SEC RULES COMMITTEE No. 61-10 SMALL FUNDS COMMITTEE No. 27-10 RE: ICI DRAFT COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES...

  [24746]   November 30, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-10 INVESTMENT ADVISERS COMMITTEE No. 2-10 SEC RULES COMMITTEE No. 60-10 SMALL FUNDS COMMITTEE No. 24-10 RE: SEC PROPOSES CHANGES TO FORM ADV AND AMENDMENTS TO "PAY TO PLAY" RULE AS PART OF BROADER INVESTMENT...

  [24726]   November 22, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-10 RE: CCO COMMITTEE CALL SCHEDULED FOR FRI., DEC. 10TH AT 2PM; IN-PERSON MEETING SCHEDULED FOR WED., MAY 5TH AT NOON IN WASHINGTON, DC   Due to the SEC not scheduling a National CCOutreach program this fall...

[24687] November 4, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 9-10 RISK MANAGEMENT COMMITTEE No. 18-10 SEC RULES COMMITTEE No. 49-10 SMALL FUNDS COMMITTEE No. 21-10 RE: SEC PUBLISHES PROPOSED WHISTLEBLOWER RULES FOR COMMENT; CALL TO...