Chief Risk Officers Content

[28421] October 1, 2014 TO: CHIEF RISK OFFICER COMMITTEE No. 8-14 RE: REGISTRATION OPEN FOR NOV. 6 CHIEF RISK OFFICER COMMITTEE MEETING AND NOV. 5 DINNER   As you may recall, the Institute’s Chief Risk Officer Committee will meet in Washington, D.C. on Thursday, November 6 at the ICI...

[28288] July 31, 2014 TO: CHIEF RISK OFFICER COMMITTEE No. 7-14 RE: NEW DATE FOR NOVEMBER CHIEF RISK OFFICER COMMITTEE DINNER IS WEDNESDAY, NOVEMBER 5TH; PLEASE SAVE THIS DATE   As we previously informed you, the next in-person meeting of ICI’s Chief Risk Officer (CRO) Committee will...

[28196] June 18, 2014 TO: CHIEF RISK OFFICER COMMITTEE No. 6-14 RE: NEW DATE FOR NOVEMBER CHIEF RISK OFFICER COMMITTEE DINNER IS THURSDAY, NOVEMBER 6; PLEASE SAVE THIS DATE   As we previously informed you, the next in-person meeting of ICI’s Chief Risk Officer (CRO) Committee will be...

[28154] June 4, 2014 TO: CHIEF RISK OFFICER COMMITTEE No. 5-14 RE: NEXT IN-PERSON MEETING OF THE ICI’S CRO COMMITTEE WILL BE NOV. 6 WITH DINNER ON NOV. 5; NEXT COMMITTEE CALL ON OCT. 7 AT 3P.M.   Please note on your calendars that the next in-person meeting of ICI’s Chief Risk Officer...

[28003] March 28, 2014 TO: TECHNOLOGY COMMITTEE No. 4-14 COMPLIANCE MEMBERS No. 6-14 CHIEF RISK OFFICER COMMITTEE No. 4-14 RISK ADVISORY COMMITTEE No. 2-14 RE: SUMMARY OF THE SEC’S MARCH 26 CYBERSECURITY ROUNDTABLE   This memo summarizes the discussion of the panelists at the...

[27877] February 7, 2014 TO: CHIEF RISK OFFICER COMMITTEE No. 3-14 RE: NEXT IN-PERSON MEETING OF ICI’S CRO COMMITTEE TO BE HELD IN BOSTON ON MAY 29th WITH DINNER ON MAY 28th   The next in-person meeting of the ICI’s Chief Risk Officer (CRO) Committee is scheduled in Boston...

[27848] January 16, 2014 TO: CHIEF RISK OFFICER COMMITTEE No. 2-14 CLOSED-END INVESTMENT COMPANY MEMBERS No. 3-14 COMPLIANCE MEMBERS No. 2-14 INVESTMENT COMPANY DIRECTORS No. 1-14 RISK ADVISORY COMMITTEE No. 1-14 SEC RULES MEMBERS No. 4-14 SMALL FUNDS MEMBERS No. 1-14 FIXED-INCOME...

[27827] January 10, 2014 TO: COMPLIANCE MEMBERS No. 1-14 OPERATIONS MEMBERS No. 1-14 BROKER/DEALER ADVISORY COMMITTEE No. 3-14 TRANSFER AGENT ADVISORY COMMITTEE No. 2-14 SEC RULES MEMBERS No. 2-14 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-14 CHIEF RISK OFFICER COMMITTEE No. 1-14 RE: SEC...

[27629] October 8, 2013 TO: CHIEF RISK OFFICER COMMITTEE No. 6-13 RE: NOTICE OF CRO COMMITTEE MEETINGS IN WASHINGTON, DC ON NOV. 14th; INFORMAL DINNER ON NOV. 13th; REGISTER BY NOV. 1st   This memo is to alert you to three events planned for ICI’s CRO Committee next month.  These...

[27623] October 3, 2013 TO: CHIEF RISK OFFICER COMMITTEE No. 5-13 RISK ADVISORY COMMITTEE No. 4-13 RE: OFR REPORT ON ASSET MANAGEMENT AND FINANCIAL STABILITY; COMMENTS DUE TO SEC BY NOVEMBER 1, 2013   The Office of Financial Research (OFR) has completed a report on the asset...