Chief Risk Officers Content

[30010] July 5, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-16 BROKER/DEALER ADVISORY COMMITTEE No. 20-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-16 CHIEF RISK OFFICER COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 4-16 INVESTMENT ADVISERS COMMITTEE No. 9-16...

[30003] June 23, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 15-16 BOARD OF GOVERNORS No. 1-16 CHIEF RISK OFFICER COMMITTEE No. 13-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 9-16 COMPLIANCE MEMBERS No. 19-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 13-16 ETF ADVISORY COMMITTEE No...

[29920] May 18, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 12-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 15-16 BROKER/DEALER ADVISORY COMMITTEE No. 16-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-16 CHIEF RISK OFFICER COMMITTEE No. 12-16 COMPLIANCE MEMBERS No. 13-16...

[29869] April 26, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 11-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 5-16 COMPLIANCE MEMBERS No. 11-16 INVESTMENT ADVISER MEMBERS No. 6-16 RISK ADVISORY COMMITTEE No. 2-16 SEC RULES MEMBERS No. 18-16 RE: FEDERAL AGENCIES RE-PROPOSE RULES ON...

[29850] April 22, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-16 CHIEF RISK OFFICER COMMITTEE No. 10-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-16 COMPLIANCE ADVISORY COMMITTEE No. 3-16 INVESTMENT ADVISERS COMMITTEE No. 7-16 RISK ADVISORY COMMITTEE No. 1-16 SEC RULES...

[29847] April 21, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 7-16 CHIEF RISK OFFICER COMMITTEE No. 9-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 5-16 COMPLIANCE MEMBERS No. 9-16 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 9-16 ETF ADVISORY COMMITTEE No. 9-16 INVESTMENT COMPANY...

[29791] March 28, 2016 TO: ACCOUNTING/TREASURERS MEMBERS No. 4-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 9-16 BROKER/DEALER ASSOCIATE MEMBERS No. 3-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-16 CHIEF RISK OFFICER COMMITTEE No. 8-16 CLOSED-END INVESTMENT COMPANY MEMBERS No...

  [29781]   March 22, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 6-16 COMPLIANCE MEMBERS No. 5-16 INTERNAL AUDIT COMMITTEE No. 4-16 SEC RULES MEMBERS No. 12-16 SMALL FUNDS MEMBERS No. 9-16 RE: SEC PUBLISHES GUIDANCE ON THE IMPORTANCE OF FUND DISCLOSURE REFLECTING RISKS RELATED TO...

[29786] March 22, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 7-16 RE: MAY 10 CHIEF RISK OFFICER COMMITTEE MEETING IN BOSTON - REGISTRATION NOW OPEN   Registration link: www.ici.org/reg/cro The spring meeting of the Chief Risk Officer Committee has been scheduled for Tuesday, May 10...

[29765] March 11, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-16 CHIEF RISK OFFICER COMMITTEE No. 5-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 3-16 COMPLIANCE ADVISORY COMMITTEE No. 2-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 6-16...