Chief Risk Officers Content

[28916] April 21, 2015 TO: CHIEF RISK OFFICER COMMITTEE No. 8-15 COMPLIANCE MEMBERS No. 12-15 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-15 INVESTMENT COMPANY DIRECTORS No. 9-15 SEC RULES MEMBERS No. 26-15 SMALL FUNDS MEMBERS No. 16-15 RE: SEC SANCTIONS FUND ADVISER AND ITS CCO FOR...

[28864] March 26, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 6-15 CHIEF RISK OFFICER COMMITTEE No. 7-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-15 COMPLIANCE MEMBERS No. 10-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 6-15 ETF ADVISORY COMMITTEE No. 6-15 OPERATIONS MEMBERS No. 11...

[28812] March 11, 2015 TO: CHIEF RISK OFFICER COMMITTEE No. 6-15 RE: NEXT IN-PERSON MEETING OF ICI'S CRO COMMITTEE TO BE HELD IN NEW YORK CITY ON TUESDAY, MAY 19 WITH DINNER ON MAY 18   Meeting/Dinner Details – REGISTER BY MAY 1 Registration link: www.ici.org/reg/cro The next in...

[28780] February 26, 2015 TO: SEC RULES MEMBERS No. 14-15 COMPLIANCE MEMBERS No. 9-15 SMALL FUNDS MEMBERS No. 9-15 TECHNOLOGY COMMITTEE No. 4-15 CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE BROKER/DEALER ADVISORY COMMITTEE No. 8-15 TRANSFER AGENT ADVISORY COMMITTEE No. 9-15...

[28720] February 5, 2015 TO: ACCOUNTING/TREASURERS MEMBERS No. 3-15 BOARD OF GOVERNORS No. 1-15 CHIEF RISK OFFICER COMMITTEE No. 4-15 CLOSED-END INVESTMENT COMPANY MEMBERS No. 2-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 1-15 ETF ADVISORY COMMITTEE No. 1-15 INVESTMENT COMPANY...

[28707] February 3, 2015 TO: CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE CHIEF RISK OFFICER COMMITTEE No. 3-15 BROKER/DEALER ADVISORY COMMITTEE No. 5-15 SEC RULES MEMBERS No. 7-15 COMPLIANCE MEMBERS No. 5-15 SMALL FUNDS MEMBERS No. 3-15 TECHNOLOGY COMMITTEE No. 3-15 TRANSFER...

[28706] February 3, 2015 TO: CHIEF RISK OFFICER COMMITTEE No. 2-15 RE: SCHEDULE OF ICI CRO COMMITTEE CALLS AND MEETINGS FOR 2015   Before we get too far into 2015, I wanted to let you know the dates of the quarterly calls and in-person meetings of ICI’s Chief Risk Officer (CRO)...

[28664] January 13, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 1-15 COMPLIANCE MEMBERS No. 2-15 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-15 INVESTMENT COMPANY DIRECTORS No. 1-15 OPERATIONS MEMBERS No. 2-15 PENSION MEMBERS No. 3-15 SEC RULES...

[28602] December 19, 2014 TO: ACCOUNTING/TREASURERS MEMBERS No. 21-14 BOARD OF GOVERNORS No. 3-14 CHIEF RISK OFFICER COMMITTEE No. 10-14 CLOSED-END INVESTMENT COMPANY MEMBERS No. 36-14 COMPLIANCE MEMBERS No. 18-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 19-14 ETF ADVISORY COMMITTEE...

[28576] December 12, 2014 TO: ACCOUNTING/TREASURERS MEMBERS No. 18-14 CHIEF RISK OFFICER COMMITTEE No. 9-14 CLOSED-END INVESTMENT COMPANY MEMBERS No. 34-14 COMPLIANCE MEMBERS No. 17-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 17-14 ETF ADVISORY COMMITTEE No. 17-14 INVESTMENT COMPANY...