Chief Risk Officers Content

[32604] July 16, 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: ICI Submits...

[32598] July 13, 2020 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Operations Committee SUBJECTS: Cybersecurity RE: OCIE Publishes Risk Alert on Ransomware Last Friday, July 10th, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...

[32596] July 13, 2020 TO: ICI Global Members ESG Task Force ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure ESG International/Global Investment Advisers Portfolio Oversight Risk Oversight RE: Monetary Authority of Singapore (MAS) Proposes Environmental Risk...

[32569] July 1, 2020 TO: ICI Members ICI Global Members SUBJECTS: Compliance Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Intermediary Oversight International/Global Investment Advisers Operations Portfolio Oversight Risk Oversight RE: France's AMF...

[32464] May 15, 2020 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Fund Governance Operations Portfolio Oversight Risk Oversight Systemic Risk RE: Update on SEC COVID-19 Market Monitoring Group Initiatives On May 13, 2020, SEC Chairman Jay Clayton and Chief...

[32409] April 23, 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 Transfer Agency Unit...

[32401] April 21, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee RE: COVID 19 - Central Bank of Ireland's Measures for Asset Managers Recognising...

[32398] April 20, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Distribution Exchange-Traded Funds (ETFs) Intermediary Oversight Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ICI Files...

[32383] April 13, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Portfolio Oversight Risk Oversight Transfer Agency RE: SEC Division of Corporation Finance Issues...

[32372] April 9, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee RE: COVID 19 - UK FCA's Expectations for SM&CR for Solo-Regulated Firms On 3 April...