Chief Risk Officers Content

[31737] April 29, 2019 TO: Chief Risk Officer Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Operations Committee Securities Operations Advisory Committee RE: Member Call on May 9 to Discuss TMPG Proposed Best Practices In July, the Treasury Market...

[31725] April 23, 2019 TO: ICI Members 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 SUBJECTS: Compliance...

[31708] April 10, 2019 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Staff Issues Liquidity FAQ on Extended Holiday...

[31685] March 28, 2019 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Cybersecurity Derivatives Fund Accounting & Financial Reporting Investment Advisers Operations Risk Oversight RE: Updates on...

[31652] March 14, 2019 TO: ICI Members Chief Risk Officer Committee Internal Audit Committee International Internal Audit Advisory Committee International Operations Advisory Committee Operations Committee SUBJECTS: International/Global Risk Oversight RE: FCA Publishes "Dear CEO LIBOR...

[31653] March 14, 2019 TO: ICI Members Chief Risk Officer Committee Internal Audit Committee International Internal Audit Advisory Committee International Operations Advisory Committee SUBJECTS: International/Global RE: FCA Publishes Finalised Guidance Relating to Senior Managers and...

[31649] March 13, 2019 TO: ICI Members ICI Global Members Chief Risk Officer Committee ICI Global Brexit Task Force Securities Operations Advisory Committee SUBJECTS: International/Global RE: Brexit: A Summary of Key Technical Publications Over the last few months, the UK and EU...

[31612] February 14, 2019 TO: Chief Risk Officer Committee RE: May 8 Chief Risk Officer Committee Meeting in Chicago The spring meeting of ICI’s Chief Risk Officer Committee will be held on Wednesday, May 8 from 9:00 a.m. – 3:00 p.m. [Central] in Chicago. Garett Childs of Jackson...

[31590] February 1, 2019 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Registered Fund CPO Advisory Committee SUBJECTS: Compliance Derivatives Fund Accounting & Financial Reporting Intermediary Oversight Investment Advisers Portfolio Oversight Risk...