Internal Audit Advisory Content

[28780] February 26, 2015 TO: SEC RULES MEMBERS No. 14-15 COMPLIANCE MEMBERS No. 9-15 SMALL FUNDS MEMBERS No. 9-15 TECHNOLOGY COMMITTEE No. 4-15 CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE BROKER/DEALER ADVISORY COMMITTEE No. 8-15 TRANSFER AGENT ADVISORY COMMITTEE No. 9-15...

[28707] February 3, 2015 TO: CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE CHIEF RISK OFFICER COMMITTEE No. 3-15 BROKER/DEALER ADVISORY COMMITTEE No. 5-15 SEC RULES MEMBERS No. 7-15 COMPLIANCE MEMBERS No. 5-15 SMALL FUNDS MEMBERS No. 3-15 TECHNOLOGY COMMITTEE No. 3-15 TRANSFER...

[28664] January 13, 2015 TO: BROKER/DEALER ADVISORY COMMITTEE No. 2-15 CHIEF RISK OFFICER COMMITTEE No. 1-15 COMPLIANCE MEMBERS No. 2-15 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-15 INVESTMENT COMPANY DIRECTORS No. 1-15 OPERATIONS MEMBERS No. 2-15 PENSION MEMBERS No. 3-15 SEC RULES...

[28397] September 24, 2014 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 6-14 RE: REMINDER - NOVEMBER 5 INTERNAL AUDIT ADVISORY COMMITTEE MEETING; REGISTRATION OPEN   As you may recall, the Institute’s Internal Audit Advisory Committee will meet in Washington, D.C. on Wednesday, November...

[28289] July 31, 2014 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 5-14 RE: DATE FOR NEXT IN-PERSON MEETING OF ICI INTERNAL AUDIT COMMITTEE AND DINNER MOVED TO NOV. 5TH; JOINT MEETING ON NOV. 6TH   This memo is to let you know that we have had to move the date for the next in-person...

[28188] June 13, 2014 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 4-14 RE: NEXT IN-PERSON INTERNAL AUDIT ADVISORY COMMITTEE MEETING WILL BE HELD NOV. 7 IN WASHINGTON, DC WITH JOINT CRO MEETING ON NOV. 6   This memo is to let you know that we have set the date for the next in-person...

[28128] May 16, 2014 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 3-14 RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING IN DENVER ON JUNE 10; INFORMAL DINNER ON JUNE 9; RSVP BY JUNE 4   As we previously informed you via email on April 1st, the next meeting of the Internal Audit...

[27858] January 23, 2014 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 2-14 RE: NEXT MEETING OF THE INTERNAL AUDIT ADVISORY COMMITTEE SCHEDULED FOR TUESDAY, MAY 6th IN DENVER   The next meeting of the Internal Audit Advisory Committee has been scheduled in Denver, Colorado for Tuesday...

[27827] January 10, 2014 TO: COMPLIANCE MEMBERS No. 1-14 OPERATIONS MEMBERS No. 1-14 BROKER/DEALER ADVISORY COMMITTEE No. 3-14 TRANSFER AGENT ADVISORY COMMITTEE No. 2-14 SEC RULES MEMBERS No. 2-14 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-14 CHIEF RISK OFFICER COMMITTEE No. 1-14 RE: SEC...

[27728] November 25, 2013 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 8-13 RE: DRAFT COMMENT LETTER ON PCAOB AUDITOR REPORTING MODEL PROPOSAL; MEMBER COMMENTS REQUESTED BY DECEMBER 3   The Public Company Accounting Oversight Board has proposed sweeping changes to the auditor’s reporting...