Chief Risk Officers Content

[30181] August 29, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 23-16 CHIEF RISK OFFICER COMMITTEE No. 24-16 COMPLIANCE MEMBERS No. 26-16 INVESTMENT ADVISER MEMBERS No. 15-16 SEC RULES MEMBERS No. 47-16 SMALL FUNDS MEMBERS No. 37-16 RE: SEC ADOPTS FINAL AMENDMENTS TO FORM ADV AND...

[30163] August 23, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 21-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 28-16 BROKER/DEALER ADVISORY COMMITTEE No. 29-16 CHIEF RISK OFFICER COMMITTEE No. 23-16 COMPLIANCE MEMBERS No. 25-16 INVESTMENT ADVISER MEMBERS No. 14-16 INVESTMENT...

[30128] August 12, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 22-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 13-16 EQUITY MARKETS ADVISORY COMMITTEE No. 27-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 17-16 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 20-16 RISK ADVISORY COMMITTEE No. 5...

[30120] August 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-16 BROKER/DEALER ADVISORY COMMITTEE No. 26-16 CHIEF RISK OFFICER COMMITTEE No. 21-16 COMPLIANCE ADVISORY COMMITTEE No. 9-16 INVESTMENT ADVISERS COMMITTEE No. 14-16...

[30089] July 28, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-16 CHIEF RISK OFFICER COMMITTEE No. 20-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 8-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No...

[30070] July 22, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 19-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 12-16 COMPLIANCE MEMBERS No. 23-16 INVESTMENT ADVISER MEMBERS No. 13-16 RISK ADVISORY COMMITTEE No. 4-16 SEC RULES MEMBERS No. 38-16 SMALL FUNDS MEMBERS No. 33-16 RE: ICI SUBMITS...

[30053] July 19, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 19-16 CHIEF RISK OFFICER COMMITTEE No. 18-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-16 COMPLIANCE MEMBERS No. 22-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 15-16 ETF ADVISORY COMMITTEE No. 15-16 INVESTMENT COMPANY...

[30035] July 13, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-16 CHIEF RISK OFFICER COMMITTEE No. 17-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 7-16 INVESTMENT ADVISERS COMMITTEE No. 12-16 RISK ADVISORY COMMITTEE No. 3-16 SEC RULES...

[30028] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-16 CHIEF RISK OFFICER COMMITTEE No. 16-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 6-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 33...

[30025] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-16 BROKER/DEALER ADVISORY COMMITTEE No. 22-16 CHIEF RISK OFFICER COMMITTEE No. 15-16 COMPLIANCE ADVISORY COMMITTEE No. 5-16 INVESTMENT ADVISERS COMMITTEE No. 10-16...