Chief Risk Officers Content

[31472] November 9, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee RE: OCIE Publishes Risk Alert Announcing Focus During Its Risk-Based Exams of Registered Investment Companies The SEC’s Office of Compliance Inspections and...

[31421] October 4, 2018 TO: Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Small Funds Committee Technology Committee RE: SEC Sanctions Broker-Dealer/Adviser for Cyber...

[31407] September 25, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31376] September 7, 2018 TO: Chief Risk Officer Committee RE: Registration Open for November 28 CRO Committee Meeting and November 27 Joint Meeting and Dinner with Internal Audit Committee As you may recall, the Institute’s next meeting of our Chief Risk Officer Committee is...

[31349] August 24, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31346] August 23, 2018 TO: Chief Risk Officer Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Operations Committee Securities Operations Advisory Committee RE: ICI Member Call September 6: Follow-Up Discussion on TMPG White Paper Earlier this week...

[31322] August 9, 2018 TO: Chief Risk Officer Committee Equity Markets Advisory Committee Fixed-Income Advisory Committee Money Market Funds Advisory Committee Operations Committee Securities Operations Advisory Committee RE: ICI Member Call August 22: Treasury Market Practices Group...

[31320] August 7, 2018 TO: ICI Members Investment Company Directors Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee Pension Committee Pension Operations Advisory Committee Sales and Marketing Committee...