Chief Risk Officers Content

[32286] March 15, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight Settlement Technology & Business...

[32282] March 14, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight Technology & Business Continuity...

[32217] February 19, 2020 TO: Chief Risk Officer Committee RE: Registration Open for May 19 CRO Committee Meeting and May 18 Dinner in Denver The next meeting of ICI’s Chief Risk Officer Committee will be held on Tuesday, May 19 from 9:00 a.m. to 3:00 p.m. Many thanks to George...

[32190] February 3, 2020 TO: ICI Members SUBJECTS: Compliance Disclosure International/Global Investment Advisers Portfolio Oversight Risk Oversight RE: US SEC Statements on Climate Risk Disclosure On January 30, SEC Chairman Clayton, Commissioner Lee, and Commissioner Peirce each...

[32189] January 31, 2020 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory...

[32177] January 27, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee Risk Advisory Committee SEC...

[32166] January 22, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Derivatives Markets Advisory Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee Risk Advisory Committee SEC...

[32125] January 2, 2020 TO: ICI Members ICI Global Members Chief Risk Officer Committee ICI Global Brexit Task Force ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee SUBJECTS: International/Global RE: Confirmed...

[32083] December 6, 2019 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Risk Oversight Systemic Risk RE: SEC Re-Proposes Rule on Fund's Use of Derivatives and Proposes Sales Practice Rules for Transactions in Leveraged/Inverse...

[32063] November 26, 2019 TO: Chief Risk Officer Committee Internal Audit Committee International Internal Audit Advisory Committee RE: FCA Publishes Q&A on Conduct Risk During LIBOR Transition As you may recall, in September 2019, the Financial Conduct Association (FCA) published a...