Internal Audit Advisory Content

  [27628] October 8, 2013 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 7-13 RE: NOTICE OF INTERNAL AUDIT COMMITTEE MEETING AND DINNER IN DCON NOV. 13th; JOINT MEETING ON NOV. 14th; REGISTER BY NOV. 1st   This memo is to alert you to three events planned for ICI’s Internal Audit Advisory...

[27436] August 5, 2013 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 6-13 RE: NEXT IN-PERSON INTERNAL AUDIT ADVISORY COMMITTEE MEETING TO BE HELD IN WASHINGTON, D.C. ON WEDNESDAY, NOVEMBER 13th; JOINT RISK MEETING ON NOVEMBER 14th   The next in-person meeting of the ICI’s Internal Audit...

[27324] June 20, 2013 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 5-13 RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING IN DC ON JULY 31st ; INFORMAL DINNER ON JULY 30th ; RSVP BY JULY 19th The next meeting of the Internal Audit Advisory Committee of the Investment Company...

[27322] June 19, 2013 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 54-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 28-13 ETF ADVISORY COMMITTEE No. 29-13 INTERNAL AUDIT ADVISORY COMMITTEE No. 4-13 INVESTMENT ADVISER MEMBERS No. 42-13 RE: WITHDRAWAL OF NASDAQ'S PROPOSED RULE CHANGE TO...

[27140] March 28, 2013 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 28-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 18-13 ETF ADVISORY COMMITTEE No. 17-13 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-13 RE: ICI COMMENT LETTER ON NASDAQ’S PROPOSED RULE CHANGE TO REQUIRE LISTED COMPANIES TO...

[27125] March 25, 2013 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 9-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 17-13 ETF ADVISORY COMMITTEE No. 16-13 INTERNAL AUDIT ADVISORY COMMITTEE No. 2-13 RE: DRAFT ICI COMMENT LETTER ON NASDAQ'S PROPOSED RULE CHANGE TO REQUIRE LISTED...

[27109] March 13, 2013 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 25-13 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-13 INVESTMENT ADVISER MEMBERS No. 22-13 ETF ADVISORY COMMITTEE No. 15-13 ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 16-13 RE: NASDAQ FILES PROPOSED RULE CHANGE TO REQUIRE...

[26700] November 16, 2012 TO: COMPLIANCE MEMBERS No. 25-12 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-12 RE: SEC PUBLISHES 2ND ANNUAL REPORT ON ITS WHISTLEBLOWER PROGRAM   The U. S. Securities and Exchange Commission has published its second annual report on the Commission’s...

ACTION REQUESTED [26572] October 10, 2012 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 5-12 RE: INTERNAL AUDIT ADVISORY COMMITTEE MEETING IN ATLANTA ON DECEMBER 4TH WITH DINNER ON THE 3RD; RSVP BY NOVEMBER 5TH   The next meeting of the ICI Internal Audit Advisory Committee has been...

[26493] September 7, 2012 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 4-12 RE: NEXT MEETING OF THE INTERNAL AUDIT ADVISORY COMMITTEE SCHEDULED FOR TUESDAY, DECEMBER 4TH IN ATLANTA   The next meeting of the Internal Auditor Advisory Committee has been scheduled in Atlanta, Georgia on...