Internal Audit Advisory Content

  [24952] February 8, 2011 TO: COMPLIANCE MEMBERS No. 13-11 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-11 RISK MANAGEMENT ADVISORY COMMITTEE No. 1-11 RISK MANAGEMENT COMMITTEE No. 1-11 SEC RULES MEMBERS No. 31-11 SMALL FUNDS MEMBERS No. 19-11 RE: ICI FILES COMMENT LETTER ON CFTC PROPOSED...

[24863] January 11, 2011 TO: TAX COMMITTEE No. 3-11 SMALL FUNDS COMMITTEE No. 3-11 OPERATIONS COMMITTEE No. 2-11 COMPLIANCE ADVISORY COMMITTEE No. 2-11 BROKER/DEALER ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE...

  [24837] January 5, 2011   TO: COMPLIANCE MEMBERS No. 2-11 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-11 OPERATIONS MEMBERS No. 1-11 RE: APPELLATE COURT UPHOLDS PRIVATE EMPLOYER'S RIGHT TO DENY EMPLOYMENT TO A PERSON WHO HAS FILED FEDERAL BANKRUPTCY   The United States Court of Appeals...

  [24804]   December 20, 2010 TO: COMPLIANCE MEMBERS No. 35-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 12-10 RISK MANAGEMENT ADVISORY COMMITTEE No. 7-10 SEC RULES MEMBERS No. 139-10 SMALL FUNDS MEMBERS No. 84-10 RE: ICI FILES COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES   Last...

  [24803]   December 20, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 11-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-10 RISK MANAGEMENT COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 66-10 SMALL FUNDS COMMITTEE No. 32-10 RE: ICI FILES COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES...

[24762] December 6, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-10 RISK MANAGEMENT COMMITTEE No. 19-10 SEC RULES COMMITTEE No. 61-10 SMALL FUNDS COMMITTEE No. 27-10 RE: ICI DRAFT COMMENT LETTER ON SEC PROPOSED WHISTLEBLOWER RULES...

[24687] November 4, 2010 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 9-10 RISK MANAGEMENT COMMITTEE No. 18-10 SEC RULES COMMITTEE No. 49-10 SMALL FUNDS COMMITTEE No. 21-10 RE: SEC PUBLISHES PROPOSED WHISTLEBLOWER RULES FOR COMMENT; CALL TO...

  [24680]   November 3, 2010 TO: INVESTMENT COMPANY DIRECTORS No. 26-10 SEC RULES MEMBERS No. 112-10 SMALL FUNDS MEMBERS No. 67-10 COMPLIANCE MEMBERS No. 29-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 8-10 RE: SEC STAFF ISSUES LETTER ON DIRECTOR RESPONSIBILITIES UNDER AFFILIATED...

  [24594]   October 8, 2010 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 7-10 RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING IN WASHINGTON ON WEDNESDAY, NOV. 17TH; INFORMAL DINNER ON NOV. 16TH; RSVP BY NOV. 3RD   The next meeting of the Internal Audit Advisory Committee of the...

    [24252]   April 20, 2010 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 6-10     RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING IN NYC ON THURSDAY, MAY 20TH; INFORMAL DINNER ON MAY 19TH; RSVP BY MAY 13TH   The next meeting of the Internal Audit Advisory Committee of the...