Chief Risk Officers Content

[24576] October 5, 2010 TO: COMPLIANCE MEMBERS No. 22-10 RISK MANAGEMENT ADVISORY COMMITTEE No. 6-10 RISK MANAGEMENT COMMITTEE No. 16-10 SEC RULES MEMBERS No. 92-10 SMALL FUNDS MEMBERS No. 53-10 RE: ICI PUBLISHES SAMPLES OF FUNDS' SAI DISCLOSURE OF ROLE OF BOARD IN RISK OVERSIGHT   As...

  [24546]   September 16, 2010 TO: RISK MANAGEMENT COMMITTEE No. 15-10 RE: SAVE THE DATE: NEXT RISK MANAGEMENT COMMITTEE MEETING SCHEDULED FOR TUESDAY, NOVEMBER 9 IN WASHINGTON, DC   For planning purposes, please note that the next meeting of the Institute’s Risk Management Committee...

  [24458]   August 2, 2010 TO: ACCOUNTING/TREASURERS MEMBERS No. 23-10 CLOSED-END INVESTMENT COMPANY MEMBERS No. 41-10 COMPLIANCE MEMBERS No. 15-10 ETF ADVISORY COMMITTEE No. 33-10 EQUITY MARKETS ADVISORY COMMITTEE No. 30-10 RISK MANAGEMENT COMMITTEE No. 14-10 SEC RULES MEMBERS No. 72...

    [24431]   July 19, 2010 TO: BOARD OF GOVERNORS No. 6-10 CLOSED-END INVESTMENT COMPANY MEMBERS No. 37-10 COMPLIANCE MEMBERS No. 13-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 20-10 ETF ADVISORY COMMITTEE No. 29-10 EQUITY MARKETS ADVISORY COMMITTEE No. 27-10 FEDERAL LEGISLATION...

    [24324]   May 26, 2010 TO: RISK MANAGEMENT COMMITTEE No. 11-10     RE: JOSEPH CARRIER OF LEGG MASON APPOINTED AS CHAIRMAN OF THE INSTITUTE'S RISK MANAGEMENT COMMITTEE   I am pleased to announce that Joseph Carrier, the Chief Risk Officer of Legg Mason, Inc., has been appointed as...

    [24325]   May 26, 2010 TO: BOARD OF GOVERNORS No. 5-10 CLOSED-END INVESTMENT COMPANY MEMBERS No. 26-10 COMPLIANCE MEMBERS No. 12-10 EQUITY MARKETS ADVISORY COMMITTEE No. 17-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 11-10 ETF ADVISORY COMMITTEE No. 19-10 FEDERAL LEGISLATION...

    [24266]   April 26, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 14-10 SEC RULES MEMBERS No. 38-10 CLOSED-END INVESTMENT COMPANY MEMBERS No. 23-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 9-10 ETF ADVISORY COMMITTEE No. 16-10 RISK MANAGEMENT COMMITTEE No. 10-10 SMALL FUNDS...

    [24239]   April 15, 2010 TO: COMPLIANCE MEMBERS No. 9-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-10 PRIVACY ISSUES WORKING GROUP No. 3-10 RISK MANAGEMENT ADVISORY COMMITTEE No. 5-10 RISK MANAGEMENT COMMITTEE No. 8-10 TECHNOLOGY COMMITTEE No. 3-10     RE: FINRA FINES BROKER-DEALER...

    [24238]   April 15, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 13-10 SEC RULES COMMITTEE No. 17-10 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 8-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 8-10 ETF ADVISORY COMMITTEE No. 13-10 SMALL FUNDS COMMITTEE No. 4-10 RISK MANAGEMENT...

    [24210]   April 1, 2010 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 11-10 SEC RULES MEMBERS No. 28-10 CLOSED-END INVESTMENT COMPANY MEMBERS No. 18-10 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 7-10 ETF ADVISORY COMMITTEE No. 10-10 RISK MANAGEMENT COMMITTEE No. 7-10     RE: ICI...