Chief Risk Officers Content

[30334] October 21, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 33-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 41-16BROKER/DEALER ADVISORY COMMITTEE No. 38-16CHIEF RISK OFFICER COMMITTEE No. 33-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 23-16COMPLIANCE MEMBERS No. 34...

The SEC adopted rule amendments last week that permit, but do not require, mutual funds to use swing pricing. On the same day, the SEC adopted new enhanced fund reporting and liquidity requirements.

[30331] October 21, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 32-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 40-16BROKER/DEALER ADVISORY COMMITTEE No. 37-16CHIEF RISK OFFICER COMMITTEE No. 32-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 22-16COMPLIANCE MEMBERS No. 33...

[30316] October 14, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 30-16BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-16BROKER/DEALER ADVISORY COMMITTEE No. 35-16CHIEF RISK OFFICER COMMITTEE No. 30-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 20-16COMPLIANCE MEMBERS No. 31...

[30283] September 29, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 27-16CHIEF RISK OFFICER COMMITTEE No. 29-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 17-16COMPLIANCE MEMBERS No. 30-16ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 23-16ETF ADVISORY COMMITTEE No. 22-16ICI GLOBAL STEERING...

[30277] September 28, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-16CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-16CHIEF RISK OFFICER COMMITTEE No. 28-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 16-16COMPLIANCE MEMBERS No. 29-16DERIVATIVES MARKETS ADVISORY COMMITTEE No. 47...

[30258] September 23, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 25-16CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-16CHIEF RISK OFFICER COMMITTEE No. 27-16CLOSED-END INVESTMENT COMPANY MEMBERS No. 15-16COMPLIANCE MEMBERS No. 28-16ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 21-16ETF...

[30218] September 8, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 26-16 RE: REGISTRATION OPEN FOR NOV. 3 CHIEF RISK OFFICER COMMITTEE MEETING AND DINNER   As you may recall, the Institute’s Chief Risk Officer Committee will meet in Washington, D.C. on Thursday, November 3 at the ICI’s...

[30197] September 1, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 18-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-16 CHIEF RISK OFFICER COMMITTEE No. 25-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 18-16 COMPLIANCE ADVISORY COMMITTEE No. 10-16 DERIVATIVES MARKETS ADVISORY COMMITTEE...