Chief Information Security Officer Advisory Content

[33158] March 4, 2021 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee Internal Audit Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering...

[33147] March 2, 2021 TO: ICI Members ICI Global Members SUBJECTS: COVID-19 Cybersecurity Derivatives Disclosure Distribution ESG Exchange-Traded Funds (ETFs) Financial Stability International/Global Money Market Funds Technology & Business Continuity Valuation RE: IOSCO Releases Work...

[32735] September 2, 2020 TO: Chief Information Security Officer Committee Equity Markets Advisory Committee Technology Committee RE: SEC Proposes Amendments to CAT NMS Plan to Enhance Data Security On August 21, the SEC proposed amendments to the existing national market system (NMS)...

[32671] August 13, 2020 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Information Security Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance COVID-19...

[32598] July 13, 2020 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Operations Committee SUBJECTS: Cybersecurity RE: OCIE Publishes Risk Alert on Ransomware Last Friday, July 10th, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...

[32566] June 29, 2020 TO: ICI Members SUBJECTS: Abandoned Property and Escheatment Closed-End Funds Compliance COVID-19 Disclosure Fund Accounting & Financial Reporting Fund Governance International/Global Operations Technology & Business Continuity Transfer Agency Variable Insurance...

[32471] May 20, 2020 TO: Chief Information Security Officer Committee Equity Markets Advisory Committee Technology Committee RE: SEC Adopts Amendments to CAT NMS Plan to Require Implementation Plan and Financial Accountability The SEC recently adopted amendments to the national market...

[32404] April 22, 2020 TO: ICI Global Members SUBJECTS: Compliance International/Global Technology & Business Continuity RE: COVID 19 - Central Bank of Ireland's Measures for Asset Managers Recognising the challenges facing firms and market participants during this COVID 19 health...

[32388] April 14, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Operations Technology & Business Continuity Transfer Agency Variable Insurance Products RE: SEC Division of Investment Management...