Chief Risk Officers Content

  [25232] May 31, 2011 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 40-11 COMPLIANCE MEMBERS No. 24-11 INVESTMENT ADVISER MEMBERS No. 12-11 RISK MANAGEMENT COMMITTEE No. 6-11 SEC RULES MEMBERS No. 61-11 RE: ICI COMMENT LETTER ON PROPOSED RULES ON INCENTIVE-BASED COMPENSATION...

[25199] May 18, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 28-11 RISK MANAGEMENT COMMITTEE No. 5-11 SEC RULES COMMITTEE No. 50-11 RE: DRAFT LETTER ON PROPOSED RULES ON INCENTIVE-BASED COMPENSATION ARRANGEMENTS; COMMENTS REQUESTED...

[25104] April 14, 2011 TO: RISK MANAGEMENT COMMITTEE No. 4-11 RE: ICI RISK MANAGEMENT COMMITTEE TO HOLD IN-PERSON MEETING ON WEDNESDAY, MAY 25TH IN WASHINGTON, DC; RSVP BY FRIDAY, MAY 13TH   The next in-person meeting of the Institute’s Risk Management Committee has been scheduled for...

  [25004] March 4, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-11 RISK MANAGEMENT COMMITTEE No. 3-11 SEC RULES COMMITTEE No. 20-11 RE: SEC PROPOSES RULES ON INCENTIVE-BASED COMPENSATION ARRANGEMENTS; CONFERENCE CALL ON FRIDAY...

  [24952] February 8, 2011 TO: COMPLIANCE MEMBERS No. 13-11 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-11 RISK MANAGEMENT ADVISORY COMMITTEE No. 1-11 RISK MANAGEMENT COMMITTEE No. 1-11 SEC RULES MEMBERS No. 31-11 SMALL FUNDS MEMBERS No. 19-11 RE: ICI FILES COMMENT LETTER ON CFTC PROPOSED...

[24955] February 8, 2011 TO: COMPLIANCE MEMBERS No. 14-11 INVESTMENT ADVISER MEMBERS No. 7-11 RISK MANAGEMENT ADVISORY COMMITTEE No. 2-11 RISK MANAGEMENT COMMITTEE No. 2-11 RE: SEC SANCTIONS ADVISERS FOR SECURITIES LAW VIOLATIONS RESULTING FROM ERROR IN QUANTITATIVE INVESTMENT MODEL  ...

  [24803]   December 20, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-10 RISK MANAGEMENT COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 66-10 SMALL FUNDS COMMITTEE No. 32-10 RE: ICI FILES COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES...

[24762] December 6, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-10 RISK MANAGEMENT COMMITTEE No. 19-10 SEC RULES COMMITTEE No. 61-10 SMALL FUNDS COMMITTEE No. 27-10 RE: ICI DRAFT COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES...

[24687] November 4, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 9-10 RISK MANAGEMENT COMMITTEE No. 18-10 SEC RULES COMMITTEE No. 49-10 SMALL FUNDS COMMITTEE No. 21-10 RE: SEC PUBLISHES PROPOSED WHISTLEBLOWER RULES FOR COMMENT; CALL TO...

    [24598]   October 8, 2010 TO: RISK MANAGEMENT COMMITTEE No. 17-10 RE: ICI RISK MANAGEMENT COMMITTEE TO HOLD IN-PERSON MEETING ON TUESDAY, NOVEMBER 9TH IN WASHINGTON, DC; RSVP BY OCT. 22ND   As we previously informed you, [1] an in-person meeting of the Institute’s Risk Management...