Chief Risk Officers Content

    [23175]   January 12, 2009 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 1-09     RE: ICI COMMENTS ON THE CFA INSTITUTE’S PROPOSED RISK PRINCIPLE   As you may recall, the Certified Financial Analyst (CFA) Institute recently published for comment a proposal to add a new principle...

    [23126]   December 16, 2008 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 6-08     RE: CONFERENCE CALL OF COMMITTEE SCHEDULED FOR JAN. 8TH   A conference call of the Institute’s Risk Management Advisory Committee (RMAC) has been scheduled for Thursday, January 8, 2009.  The draft...

    [23023]   October 24, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-08 BOARD OF GOVERNORS No. 13-08 CLOSED-END INVESTMENT COMPANY MEMBERS No. 56-08 COMPLIANCE MEMBERS No. 58-08 ETF COMMITTEE No. 2-08 EQUITY MARKETS ADVISORY COMMITTEE No. 57-08 FEDERAL LEGISLATION MEMBERS No. 16...

[22731] July 24, 2008 TO: COMPLIANCE MEMBERS No. 31-08INTERNAL AUDIT ADVISORY COMMITTEE No. 2-08RISK MANAGEMENT ADVISORY COMMITTEE No. 4-08 RE: RECENT REPORT ON THE STATE OF INTEGRATING GOVERNANCE, RISK, AND COMPLIANCE FUNCTIONS IN FINANCIAL SERVICES ENTERPRISES In February 2008, in...

    [22313]   March 10, 2008 TO: SEC RULES MEMBERS No. 23-08 FIXED-INCOME ADVISORY COMMITTEE No. 7-08 MONEY MARKET FUNDS ADVISORY COMMITTEE No. 3-08 MUNICIPAL SECURITIES ADVISORY COMMITTEE No. 10-08 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 4-08 RISK MANAGEMENT ADVISORY...

    [22288]   February 29, 2008 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 2-08     RE: BUY SIDE RISK MANAGERS FORUM AND CAPITAL MARKET RISK ADVISORS PUBLISH FINAL FORM OF "RISK PRINCIPLES FOR ASSET MANAGERS"   As you may recall, last August, the Buy Side Risk Managers Forums (BSRMF)...

    [22223]   February 11, 2008 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 1-08     RE: 2007 PANDEMIC EXERCISE RESULTS                At the September 2007 meeting of the Committee, the Committee received a presentation from the Institute’s staff on the Pandemic Flu Exercise of 2007. ...

[22036]   December 12, 2007 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 7-07 RE: VOLUNTEERS REQUESTED FOR THE RMAC'S NEXT PROJECT: A PROPOSED PRIMER ON RISK FOR MUTUAL FUND DIRECTORS   During the November meeting of the Institute’s Risk Management Advisory Committee, we discussed our...

  [21877]   October 22, 2007 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 6-07 RE: DIRECTOR OF SEC'S INVESTMENT MANAGEMENT DIVISION ENCOURAGES FUND FIRMS TO FOCUS ON OPERATIONAL RISK   In his comments before the Investment Company Institute’s 2007 Operations and Technology Conference...

  [21864]   October 19, 2007 TO: RISK MANAGEMENT ADVISORY COMMITTEE No. 5-07 RE: INSTITUTE COMMENT LETTER ON THE BUY SIDE RISK MANAGERS FORUM DRAFT OF "RISK PRINCIPLES FOR ASSET MANAGERS"   Attached please find a copy of the comment letter the Institute filed with the Buy Side Risk...