Chief Risk Officers Content

[29663] January 21, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 4-16 RE: MARK YOUR CALENDAR - MAY 10 CHIEF RISK OFFICER COMMITTEE MEETING IN BOSTON   The spring meeting of the Chief Risk Officer Committee has been scheduled for Tuesday, May 10, 2016. John Hancock has graciously agreed...

As previously reported, the Securities and Exchange Commission (“SEC”) issued its proposed liquidity risk management rules for mutual funds and open-end ETFs (“funds”) in late September. SEC Chair White first discussed this liquidity initiative as part of a broader package of reforms...

[29629] January 12, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-16 CHIEF RISK OFFICER COMMITTEE No. 2-16 COMPLIANCE MEMBERS No. 2-16 INTERNAL AUDIT COMMITTEE No. 1-16 INVESTMENT COMPANY DIRECTORS No. 3-16 OPERATIONS MEMBERS No. 2-16 PENSION MEMBERS No. 1-16 SEC RULES MEMBERS No. 3...

[29605] January 4, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 1-16 FIXED-INCOME ADVISORY COMMITTEE No. 1-16 INVESTMENT ADVISERS COMMITTEE No. 1-16 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 1-16 RESEARCH COMMITTEE No. 1-16 SEC RULES COMMITTEE No. 1-16 SMALL FUNDS COMMITTEE No. 1-16 RE...

[29567] December 18, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 30-15 CHIEF RISK OFFICER COMMITTEE No. 25-15 COMPLIANCE ADVISORY COMMITTEE No. 10-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 33-15 ETF ADVISORY COMMITTEE No. 32-15 END OF DAY PRICING FORUM No. 11-15 FIXED-INCOME...

[29566] December 17, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 26-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 38-15 BROKER/DEALER ASSOCIATE MEMBERS No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 24-15 COMPLIANCE MEMBERS No. 33-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 32-15...

[29367] September 28, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 24-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 33-15 BROKER/DEALER ADVISORY COMMITTEE No. 44-15 CHIEF RISK OFFICER COMMITTEE No. 22-15 COMPLIANCE ADVISORY COMMITTEE No. 8-15 END OF DAY PRICING FORUM No. 7-15...

[29344] September 15, 2015 TO: CHIEF RISK OFFICER COMMITTEE No. 21-15 RE: REGISTRATION OPEN FOR NOVEMBER 12 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 12 at the...

[29242] August 11, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 18-15 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 29-15 BROKER/DEALER ADVISORY COMMITTEE No. 39-15 CHIEF RISK OFFICER COMMITTEE No. 20-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 26-15 COMPLIANCE MEMBERS No. 23-15...

[29188] July 21, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 21-15 CHIEF RISK OFFICER COMMITTEE No. 19-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 17-15 COMPLIANCE ADVISORY COMMITTEE No. 7-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 55-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No...