Chief Risk Officers Content

[32374] April 9, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Investment Advisers Operations Risk Oversight RE: SEC Division of Investment Management and Division of Trading and Markets Issue...

[32366] April 8, 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 Further COVID 19 Guidance to Funds On April 6, the UK...

[32343] April 1, 2020 TO: ICI Global Members CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee SUBJECTS: Compliance...

On March 23, the US Senate voted 96-0 to approve the Coronavirus Aid, Relief, and Economic Security (CARES) Act. The US House of Representatives then followed suit and approved this sweeping legislation by voice vote this afternoon. President Trump is expected to sign it into law...

On March 19, 2020, ICI received temporary emergency relief from Division of Investment Management staff agreeing not to recommend enforcement action against any money market fund or any bank that is an affiliated person of the fund if the affiliated bank purchases securities from the...

[32327] March 26, 2020 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations...

[32318] March 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight...

[32317] March 25, 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 Investment Management...

[32314] March 24, 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 Provides Temporary Interfund Lending...

[32307] March 23, 2020 TO: ICI Members SUBJECTS: Closed-End Funds Compliance Derivatives Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Fund Governance International/Global Investment Advisers Operations Risk Oversight Settlement Technology & Business Continuity...