Chief Risk Officers Content

    [23842]   October 2, 2009 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 11-09     RE: SEC CREATES A NEW DIVISION OF RISK, STRATEGY, AND FINANCIAL INNOVATION   Securities and Exchange Commission Chairman Mary Shapiro has announced the creation of a new Division within the SEC, the...

    [23794]   September 16, 2009 TO: ACCOUNTING/TREASURERS MEMBERS No. 38-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 39-09 RISK MANAGEMENT ADVISORY COMMITTEE No. 10-09 SEC RULES MEMBERS No. 98-09     RE: ICI SUBMITS COMMENT LETTER ON SEC PROPOSAL TO ENHANCE COMPENSATION AND...

    [23781]   September 10, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 15-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 17-09 RISK MANAGEMENT ADVISORY COMMITTEE No. 9-09 SEC RULES COMMITTEE No. 52-09     RE: DRAFT ICI LETTER ON SEC PROPOSAL TO ENHANCE COMPENSATION AND GOVERNANCE...

    [23709]   August 14, 2009 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 8-09 INTERNATIONAL COMMITTEE No. 13-09     RE: CALL ON THE FSA’S APPROACH TO RISK MANAGEMENT IN THE INVESTMENT MANAGEMENT INDUSTRY RESCHEDULED FOR SEPT. 10TH   As you may recall, last month the ICI, at the...

    [23651]   July 23, 2009 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-09 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-09 RISK MANAGEMENT ADVISORY COMMITTEE No. 7-09 SEC RULES COMMITTEE No. 44-09     RE: SEC PROPOSES ENHANCED COMPENSATION AND GOVERNANCE DISCLOSURE FOR PROXY AND...

    [23530]   June 11, 2009 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 6-09 INTERNATIONAL COMMITTEE No. 7-09     RE: JULY 21ST CONFERENCE CALL PRESENTATION ON THE FSA’S APPROACH TO RISK MANAGEMENT IN THE INVESTMENT MANAGEMENT INDUSTRY   At the request of ICI’s Risk Management Advisory...

    [23453]   May 15, 2009 TO: COMPLIANCE MEMBERS No. 23-09 PRIVACY ISSUES WORKING GROUP No. 6-09 TECHNOLOGY COMMITTEE No. 12-09 RISK MANAGEMENT ADVISORY COMMITTEE No. 5-09 TRANSFER AGENT ADVISORY COMMITTEE No. 34-09 OPERATIONS MEMBERS No. 12-09     RE: STUDY FINDS FIRMS MAY BE...

    [23411]   April 22, 2009 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 4-09     RE: RMAC QUARTERLY CALL SCHEDULED FOR MAY 14TH; AGENDA ITEMS REQUESTED   As you may recall, during the January call of the Risk Management Advisory Committee, the Committee expressed an interest in...

    [23292]   March 4, 2009 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 3-09     RE: valign="top"SCHEDULE OF THE 2009 QUARTERLY CONFERENCE CALLS OF THE RISK MANAGEMENT ADVISORY COMMITTEE   During the January 8th conference call of the Risk Management Advisory Committee, members...

    [23279]   February 27, 2009 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 2-09     RE: STATUS OF RISK PRIMER PROJECT   As you know, for the past year, the Institute’s Risk Management Advisory Committee has been engaged in its latest project – drafting a risk primer for mutual fund...