Internal Audit Advisory Content

    [24239]   April 15, 2010 TO: COMPLIANCE MEMBERS No. 9-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-10 PRIVACY ISSUES WORKING GROUP No. 3-10 RISK MANAGEMENT ADVISORY COMMITTEE No. 5-10 RISK MANAGEMENT COMMITTEE No. 8-10 TECHNOLOGY COMMITTEE No. 3-10     RE: FINRA FINES BROKER-DEALER...

    [24211]   April 1, 2010   TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-10 COMPLIANCE ADVISORY COMMITTEE No. 5-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 4-10 SEC RULES COMMITTEE No. 14-10     RE: SEC APPOINTS ITS FIRST CHIEF COMPLIANCE OFFICER   The SEC has announced the appointment...

    [24197]   March 26, 2010 TO: COMPLIANCE ADVISORY COMMITTEE No. 4-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-10 RISK MANAGEMENT ADVISORY COMMITTEE No. 4-10 RISK MANAGEMENT COMMITTEE No. 6-10 SEC RULES MEMBERS No. 25-10 SMALL FUNDS MEMBERS No. 19-10     RE: APRIL 20th  CONFERENCE...

    [24135]   February 16, 2010 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 2-10     RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING IN NYC ON MAY 20TH AND INFORMAL DINNER ON MAY 19TH   The next meeting of the Internal Audit Advisory Committee of the Investment Company Institute...

    [24056]   January 5, 2010 TO: SEC RULES MEMBERS No. 1-10 SMALL FUNDS MEMBERS No. 1-10 COMPLIANCE MEMBERS No. 1-10 RISK MANAGEMENT COMMITTEE No. 1-10 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-10     RE: PRICEWATERHOUSECOOPERS PARTNER NAMED AS NEW HEAD OF THE SEC'S OFFICE OF...

    [23871]   October 13, 2009 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 6-09     RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING IN WASHINGTON ON THURSDAY, NOV. 12TH; INFORMAL DINNER ON NOV. 11TH; RSVP BY NOV. 2ND   The next meeting of the Internal Audit Advisory Committee of...

    [23863]   October 8, 2009 TO: TECHNOLOGY COMMITTEE No. 20-09 PRIVACY ISSUES WORKING GROUP No. 13-09 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-09     RE: SEC SANCTIONS REGISTRANT FOR VIOLATING REGULATION S-P BY FAILING TO REQUIRE ANTIVIRUS SOFTWARE   The SEC recently settled an...

    [23686]   August 7, 2009 TO: SEC RULES MEMBERS No. 86-09 SMALL FUNDS MEMBERS No. 47-09 COMPLIANCE MEMBERS No. 37-09 CLOSED-END INVESTMENT COMPANY MEMBERS No. 31-09 INVESTMENT ADVISER MEMBERS No. 13-09 UNIT INVESTMENT TRUST MEMBERS No. 6-09 PRIVACY ISSUES WORKING GROUP No. 8-09...

    [23444]   May 14, 2009 TO: TECHNOLOGY COMMITTEE No. 11-09 COMPLIANCE MEMBERS No. 22-09 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-09 OPERATIONS MEMBERS No. 11-09 PRIVACY ISSUES WORKING GROUP No. 5-09     RE: FINRA SANCTIONS BROKER-DEALER FOR FAILING TO PROTECT CUSTOMER INFORMATION...

    [23062]   November 14, 2008 TO: COMPLIANCE MEMBERS No. 60-08 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-08 SEC RULES MEMBERS No. 135-08 SMALL FUNDS MEMBERS No. 70-08     RE: SEC PUBLISHES LIST OF "CORE INITIAL REQUEST FOR INFORMATION" OCIE USES IN CONDUCTING ROUTINE INSPECTIONS OF...