CCO (Chief Compliance Officer) Content

[24420]   July 15, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 20-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-10 COMPLIANCE ADVISORY COMMITTEE No. 7-10 OPERATIONS COMMITTEE No. 17-10 RE: COMPLIANCE REVIEW FOR FUND...

    [24219]   April 7, 2010   TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-10 COMPLIANCE ADVISORY COMMITTEE No. 6-10     RE: SPECIAL CCO/COMPLIANCE JOINT MEETING TO BE HELD DURING THE INSTITUTE'S 2010 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE   In conjunction with the Institute’s...

    [24211]   April 1, 2010   TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-10 COMPLIANCE ADVISORY COMMITTEE No. 5-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 4-10 SEC RULES COMMITTEE No. 14-10     RE: SEC APPOINTS ITS FIRST CHIEF COMPLIANCE OFFICER   The SEC has announced the appointment...

    [24147]   February 24, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 7-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-10 COMPLIANCE ADVISORY COMMITTEE No. 3-10 SEC RULES COMMITTEE No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 12-10     RE: ICI FILES LETTER WITH FINRA SUPPORTING...

    [24097]   January 25, 2010 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 2-10 BROKER/DEALER ADVISORY COMMITTEE No. 3-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-10 COMPLIANCE ADVISORY COMMITTEE No. 2-10 SEC RULES COMMITTEE No. 4-10     RE: DRAFT ICI LETTER SUPPORTING GREATER...

    [24085]   January 14, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-10 CLOSED-END INVESTMENT COMPANY MEMBERS No. 5-10 COMPLIANCE ADVISORY COMMITTEE No. 1-10 DIRECTORS ISSUES RISK MANAGEMENT ADVISORY COMMITTEE No. 1-10 SEC RULES MEMBERS No. 8-10 SMALL FUNDS MEMBERS No. 6-10    ...

[24014]   December 15, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-09 RE: JANUARY 27TH COMMITTEE MEETING; ATTENDEES REQUIRED TO RSVP BY REGISTERING FOR THE MEETING NO LATER THAN WEDNESDAY, DEC. 30TH   As we previously informed you, the Institute’s CCO Committee will meet in...

    [23940]   November 9, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-09     RE: SEC OPENS REGISTRATION FOR NATIONAL CCOUTREACH PROGRAM TO BE HELD JANUARY 26TH; REMINDER OF COMMITTEE MEETING AND CALL   As we previously advised you, [1] the SEC has scheduled its next CCOutreach...

    [23910]   October 28, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-09     RE: CCO COMMITTEE MEETING SCHEDULED FOR JANUARY 27TH; REMINDER OF NOVEMBER 17TH COMMITTEE CONFERENCE CALL   Earlier this month we announced that the meeting of the ICI’s CCO Committee, which had been...

    [23865]   October 9, 2009 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-09     RE: CCO COMMITTEE TO MEET BY CONFERENCE CALL ON TUESDAY, NOVEMBER 17TH FROM 2-3:30 PM EASTERN   As you may recall, the November meeting of the ICI’s CCO Committee has been postponed until January 2010. ...