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Committee

Chief Risk Officer Committee

The Chief Risk Officer (CRO) Committee consists of those representatives of ICI members firms whose core focus is risk. The Committee provides these senior risk officers of fund complexes a forum to discuss the panoply of risk issues – including operational, investment, global, and enterprise-wide concerns – that arise within a fund complex.

Sep 16

Member Meeting

TEST - Joint dinner with Internal Audit Committee - location, TBA

United States

Webinar Details Join the Investment Company Institute (ICI) for a free Talent Connection webinar on Friday, January 24, 2025 at 2:00 p.m. (ET). This webinar introduces students to the asset management industry and related legal and compliance career opportunities. Webinar topics will...

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Shawn A. Hendricks
Partner
Stradley Ronon
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Naseem Nixon
Vice President
Associate Counsel & CCO Capital Group
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Shannon Salinas
Associate General Counsel
Retirement Policy Investment Company Institute
Eric Pan
Shawn Nixon
President
Stradley Ronon

Who Should Attend? The webinar is open to law school students, students pursing a degree in compliance, and recent graduates. Register for the free Talent Connection webinar. We look forward to meeting you and introducing you to legal and compliance careers in asset management! Unable...

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Memo#
36004

ICI Cyber Incident Tabletop Exercise 2024 After-Action Report

[36004] January 30, 2025 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Committee Chief Risk Officer Committee Global Information Security Officer Committee - London Global Information Security Officer Committee - Tokyo Operational Resiliency...
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White Paper

ICI Cyber Industry Tabletop Exercise 2024: After-Action Report

The asset management industry faces an escalating battle against cybercriminals employing increasingly sophisticated tactics. From state-sponsored attacks to ransomware-as-a-service (RaaS) platforms enabling low-skilled criminal infiltrations, the threat landscape is more complex than...
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Memo#
35997

SEC Publishes Staff Accounting Bulletin No. 122; Rescinds SAB 121

On January 23, 2025, the SEC published Staff Accounting Bulletin No. 122 (SAB 122)[1] which rescinds the interpretive guidance included in Section FF of Topic 5 (Topic 5.FF) in the Staff Accounting Bulletin Series entitled Accounting for Obligations to Safeguard Crypto-Assets an...
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Memo#
35929

SEC Staff Issues Risk Alert on Registered Investment Company Examinations

Earlier this month, the Securities and Exchange Commission's Division of Examinations issued a Risk Alert: (i) providing insights into the risk-based selection process it uses to choose which registered investment companies to examine; (ii) highlighting key deficiencies and weaknesses...
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Memo#
35891

SEC's Division of Examinations Publishes 2025 Exam Priorities

For the thirteenth year in a row, the Securities and Exchange Commission's Division of Examinations has published its examination priorities for the coming year. While the Division has historically published these exam priorities near the beginning of the calendar year, this is the...