Chief Risk Officers Content

[31861] July 17, 2019 TO: ICI Members ICI Global Members Bank-Affiliated Member Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee SEC Rules Committee SUBJECTS: Portfolio Oversight Risk Oversight RE: ICI Comment Letter on Federal Reserve Proposal to...

[31855] July 15, 2019 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Internal Audit Committee...

[31844] July 10, 2019 TO: Bank-Affiliated Member Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee SEC Rules Committee RE: Your Feedback Requested on ICI Draft Comment Letter on Federal Reserve Board "Control" Proposal As we indicated previously, the...

[31816] June 21, 2019 TO: Bank, Trust and Retirement Advisory Committee Chief Risk Officer Committee Internal Audit Committee Risk Advisory Committee RE: OCC Publishes Its Semiannual Risk Perspective The National Risk Committee (NRC) of the Office of the Comptroller of the Currency...

[31801] June 11, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee...

[31757] May 13, 2019 TO: Chief Risk Officer Committee RE: Rhonda K.R. Cook of SEI Appointed New Chair of ICI's Chief Risk Officer Committee I am pleased to announce that Rhonda K.R. Cook, the Chief Risk Officer of SEI Investment Managements Corporation, has agreed to serve as the new...

[31754] May 9, 2019 TO: Chief Risk Officer Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Operations Committee Securities Operations Advisory Committee RE: Follow-up on TMPG Proposed Best Practices As discussed on our member call, the Treasury Market...