CCO Advisory Issues Subcommittee Content

[30570] February 8, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded...

[30556] February 1, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Audit and Attest Compliance Derivatives Fund Accounting & Financial Reporting Investment...

[30553] January 31, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee Small Funds Committee...

[30550] January 30, 2017 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Operations Committee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS...

[30531] January 23, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Derivatives International/Global Operations Portfolio Oversight Risk Oversight Systemic Risk RE: FSB Issues Final Policy Recommendations to Address "Structural Vulnerabilities...

[30519] January 12, 2017 TO: ICI Members Investment Company Directors ICI Global Members Chief Risk Officer Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee SUBJECTS: Audit Committees Compliance Investment Advisers Money Market Funds RE: SEC Publishes the...

[30512] January 11, 2017 TO: ICI Members Investment Company Directors Advertising Compliance Advisory Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Operations Committee Pension Committee Pension Operations...

[30502] January 4, 2017 TO: ICI Members Operations Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance RE: Medallion Signature Guarantee Considerations and Alternatives White Paper We are pleased to announce the publication of a new white paper...

[30468] December 12, 2016 TO: ICI Members SUBJECTS: Compliance Fund Governance Investment Advisers RE: GAO Issues Report on Proxy Advisory Firms In November, the Government Accountability Office (“GAO”) submitted its report on proxy advisory firms’ role in voting proxies and corporate...

[30380] November 2, 2016 TO: ICI Members SUBJECTS: Advertising Compliance Disclosure Investment Advisers RE: SEC Approves Amendments to FINRA Communications With the Public Rules The SEC has approved amendments to FINRA Rules 2210, 2213, and 2214. [1] The final amendments are largely...