Internal Audit Advisory Content

  [29781]   March 22, 2016 TO: CHIEF RISK OFFICER COMMITTEE No. 6-16 COMPLIANCE MEMBERS No. 5-16 INTERNAL AUDIT COMMITTEE No. 4-16 SEC RULES MEMBERS No. 12-16 SMALL FUNDS MEMBERS No. 9-16 RE: SEC PUBLISHES GUIDANCE ON THE IMPORTANCE OF FUND DISCLOSURE REFLECTING RISKS RELATED TO...

[29756] March 10, 2016 TO: INTERNAL AUDIT COMMITTEE No. 3-16 RE: MAY 26 INTERNAL AUDIT COMMITTEE MEETING IN LOS ANGELES –REGISTRATION NOW OPEN   Registration link: http://www.ici.org/reg/iaac The spring meeting of the Internal Audit Committee has been scheduled for Thursday, May 26...

[29654] January 20, 2016 TO: INTERNAL AUDIT COMMITTEE No. 2-16 RE: MARK YOUR CALENDAR - MAY 26 INTERNAL AUDIT COMMITTEE MEETING IN LOS ANGELES   The spring meeting of the Internal Audit Committee has been scheduled for Thursday, May 26, 2016.  Capital Research has graciously agreed to...

[29629] January 12, 2016 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-16 CHIEF RISK OFFICER COMMITTEE No. 2-16 COMPLIANCE MEMBERS No. 2-16 INTERNAL AUDIT COMMITTEE No. 1-16 INVESTMENT COMPANY DIRECTORS No. 3-16 OPERATIONS MEMBERS No. 2-16 PENSION MEMBERS No. 1-16 SEC RULES MEMBERS No. 3...

[29427] October 19, 2015 TO: INTERNAL AUDIT COMMITTEE No. 9-15 RE: INTERNAL AUDIT COMMITTEE GRANTED STANDING COMMITTEE STATUS BY ICI’S BOARD OF DIRECTORS   I am pleased to inform you that the ICI’s Internal Audit Advisory Committee was recently granted standing committee status by the...

[29346] September 15, 2015 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 8-15 RE: REGISTRATION OPEN FOR NOVEMBER 13 INTERNAL AUDIT ADVISORY COMMITTEE MEETING AND NOVEMBER 12 DINNER   As you may recall, the Institute’s Internal Audit Advisory Committee will meet in Washington, D.C. on...

[28992] May 18, 2015 TO: VARIABLE INSURANCE PRODUCTS ADVISORY COMMITTEE No. 7-15 SEC RULES MEMBERS No. 32-15 COMPLIANCE MEMBERS No. 17-15 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-15 SMALL FUNDS MEMBERS No. 21-15 RE: SEC CHARGES LIFE INSURANCE COMPANY WITH PRICING VIOLATIONS UNDER THE...

[28940] April 29, 2015 TO: COMPLIANCE MEMBERS No. 16-15 CHIEF RISK OFFICER COMMITTEE No. 11-15 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-15 TECHNOLOGY COMMITTEE No. 6-15 CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE SMALL FUNDS MEMBERS No. 20-15 OPERATIONS MEMBERS No. 16-15 RE...

[28916] April 21, 2015 TO: CHIEF RISK OFFICER COMMITTEE No. 8-15 COMPLIANCE MEMBERS No. 12-15 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-15 INVESTMENT COMPANY DIRECTORS No. 9-15 SEC RULES MEMBERS No. 26-15 SMALL FUNDS MEMBERS No. 16-15 RE: SEC SANCTIONS FUND ADVISER AND ITS CCO FOR...

[28813] March 11, 2015 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 4-15 RE: NEXT IN-PERSON MEETING OF ICI'S INTERNAL AUDIT COMMITTEE TO BE HELD IN BOSTON ON APRIL 28 WITH DINNER ON APRIL 27   Meeting/Dinner Details – REGISTER BY FRIDAY, APRIL 10 Registration link: www.ici.org/reg/iaac...