Chief Risk Officers Content

[33071] January 27, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33072] January 27, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33067] January 26, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33059] January 21, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33045] January 14, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[33021] January 5, 2021 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee...

[32992] December 16, 2020 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Global Operations Advisory Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Regulated...

[32965] December 4, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: SEC...

[32942] November 24, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Disclosure Financial Stability Fixed Income Securities Fund Governance Money Market Funds Operations Risk Oversight Trading and Markets RE: Chairman Clayton Speech Reviews Tenure, Suggests Areas for...

[32933] November 20, 2020 TO: 1940 Act Derivatives Working Group Accounting/Treasurers Committee Chief Compliance Officer Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee ETF (Exchange-Traded Funds) Committee...