Chief Risk Officers Content

[30780] July 14, 2017 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...

[30752] June 22, 2017 TO: AML Compliance Working Group Chief Risk Officer Committee Closed-End Investment Company Committee ICI Global Regulated Funds Committee Pension Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Treasury Department Seeks...

[30644] March 17, 2017 TO: Chief Risk Officer Committee RE: May 11 Chief Risk Officer Committee Meeting in Washington, DC; Please Register by April 28 Registration link: www.ici.org/reg/cro The spring meeting of ICI’s Chief Risk Officer Committee has been scheduled in Washington, D.C...

[30590] February 21, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Investment Advisers...

[30570] February 8, 2017 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded...

[30531] January 23, 2017 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Derivatives International/Global Operations Portfolio Oversight Risk Oversight Systemic Risk RE: FSB Issues Final Policy Recommendations to Address "Structural Vulnerabilities...

[30519] January 12, 2017 TO: ICI Members Investment Company Directors ICI Global Members Chief Risk Officer Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee SUBJECTS: Audit Committees Compliance Investment Advisers Money Market Funds RE: SEC Publishes the...

[30477] December 13, 2016 TO: Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee End Of Day Pricing Forum ETF (Exchange-Traded Funds) Committee ETF Advisory...

[30436] November 30, 2016 TO: Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Advisory Committee Operations CommitteeSecurities Operations...