Chief Risk Officers Content

[31274] July 3, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Adopts...

[31215] May 18, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: ICI Submits...

[31194] May 3, 2018 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Fixed-Income Advisory Committee Investment Advisers Committee Municipal...

[31136] March 16, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Proposes...

[31130] March 15, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Technology Committee SUBJECTS: Compliance Cybersecurity Litigation & Enforcement RE: SEC Charges Equifax CIO with...

[31106] February 23, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Extends...

[31094] February 16, 2018 TO: Chief Risk Officer Committee RE: May 8 Chief Risk Officer Committee Meeting in New York The spring meeting of ICI’s Chief Risk Officer Committee will be held in New York City on Tuesday, May 8 from 9:00 a.m. – 3:00 p.m. Eastern in New York at the offices...

[31071] February 5, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Governance International/Global Investment Advisers Portfolio Oversight Risk Oversight Systemic Risk RE: IOSCO Issues Two Final...

[31066] February 2, 2018 TO: Chief Risk Officer Committee RE: Next ICI CRO Committee Meeting Will Be on Tuesday, May 8 in NYC As we are already a month into 2018, I wanted to let you know that we have set the dates for this year’s meetings and calls of ICI’s Chief Risk Officer...