Compliance Advisory Content

[29090] June 15, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-15 CHIEF RISK OFFICER COMMITTEE No. 18-15 COMPLIANCE ADVISORY COMMITTEE No. 6-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 45-15 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 15...

[29068] June 5, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-15 CHIEF RISK OFFICER COMMITTEE No. 17-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 13-15 COMPLIANCE ADVISORY COMMITTEE No. 5-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 41...

[29057] June 4, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 11-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-15 CHIEF RISK OFFICER COMMITTEE No. 16-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 12-15 COMPLIANCE ADVISORY COMMITTEE No. 4-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 39...

[29045] June 2, 2015 TO: ACCOUNTING/TREASURERS COMMITTEE No. 10-15 CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-15 CHIEF RISK OFFICER COMMITTEE No. 14-15 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-15 COMPLIANCE ADVISORY COMMITTEE No. 3-15 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 38...

[28807] March 10, 2015 TO: COMPLIANCE ADVISORY COMMITTEE No. 1-15 RE: 2015 IN-PERSON MEETING OF ICI'S COMPLIANCE ADVISORY COMMITTEE WILL BE HELD IN WASHINGTON, D.C. ON MAY 6; REGISTER BY APRIL 17   Meeting Details – REGISTER BY APRIL 17 Registration link: www.ici.org/reg/cco The 2015...

[28182] June 11, 2014 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-14 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 24-14 COMPLIANCE ADVISORY COMMITTEE No. 3-14 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 39-14 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 11-14 ETF ADVISORY COMMITTEE No. 10...

[27952] March 13, 2014 TO: COMPLIANCE ADVISORY COMMITTEE No. 2-14 RE: JOINT MEETING OF ICI’S COMPLIANCE ADVISORY AND CCO COMMITTEES SCHEDULED FOR TUESDAY, MAY 20 BEFORE THE ICI COMPLIANCE PROGRAMS CONFERENCE; RSVP BY FRIDAY, MAY 2   Members of ICI’s Compliance Advisory Committee are...

[26945] January 25, 2013 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-13 COMPLIANCE ADVISORY COMMITTEE No. 1-13 RE: SPECIAL CCO/COMPLIANCE JOINT MEETING TO BE HELD MAY 1ST BEFORE THE ICI COMPLIANCE PROGRAMS CONFERENCE; RSVPS DUE BY APRIL 12TH   A joint meeting of the ICI’s CCO and...

[26645] November 5, 2012 TO: SEC RULES COMMITTEE No. 70-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 42-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 63-12 ETF ADVISORY COMMITTEE No. 44-12 COMPLIANCE ADVISORY COMMITTEE No. 4-12 SMALL FUNDS COMMITTEE No. 26-12 VARIABLE INSURANCE...

[26517] September 24, 2012 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 42-12 BROKER/DEALER ADVISORY COMMITTEE No. 47-12 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 33-12 COMPLIANCE ADVISORY COMMITTEE No. 3-12 FIXED-INCOME ADVISORY COMMITTEE No. 21-12 INVESTMENT ADVISERS...