CCO Advisory Issues Subcommittee Content

[30371] November 1, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Operations Commitee Pension Operations Advisory Committee Principal Underwriters Working Group Small Funds...

[28622] December 29, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-14 CCO ADVISORY ISSUES SUBCOMMITTEE RE: SCHEDULE OF ICI CCO COMMITTEE AND CCO ADVISORY ISSUES SUBCOMMITTEE CALLS AND MEETINGS FOR 2015   Happy holidays to each of you! In anticipation of a new year beginning this...

[27829] January 13, 2014 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-14 CCO ADVISORY ISSUES SUBCOMMITTEE RE: SCHEDULE OF ICI CCO COMMITTEE AND SUBCOMMITTEE CALLS AND MEETINGS FOR 2014   Before we get too far into 2014, I wanted to let you know the dates of the quarterly calls of ICI...

[27527] August 29, 2013 TO: COMPLIANCE MEMBERS No. 38-13 INVESTMENT ADVISER MEMBERS No. 61-13 SMALL FUNDS MEMBERS No. 50-13 TECHNOLOGY COMMITTEE No. 9-13 CCO ADVISORY ISSUES SUBCOMMITTEE EQUITY MARKETS ADVISORY COMMITTEE No. 17-13 RE: SEC PUBLISHES RISK ALERT ON INVESTMENT ADVISERS'...

[27417] July 29, 2013 TO: CCO ADVISORY ISSUES SUBCOMMITTEE COMPLIANCE MEMBERS No. 31-13 INVESTMENT ADVISER MEMBERS No. 54-13 SMALL FUNDS MEMBERS No. 44-13 RE: SEC ANNOUNCES REGIONAL COMPLIANCE SEMINARS FOR INVESTMENT ADVISER AND INVESTMENT COMPANY SENIOR OFFICERS   The SEC has...