Internal Audit Advisory Content

    [23023]   October 24, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 14-08 BOARD OF GOVERNORS No. 13-08 CLOSED-END INVESTMENT COMPANY MEMBERS No. 56-08 COMPLIANCE MEMBERS No. 58-08 ETF COMMITTEE No. 2-08 EQUITY MARKETS ADVISORY COMMITTEE No. 57-08 FEDERAL LEGISLATION MEMBERS No. 16...

[22866] September 15, 2008 TO: COMPLIANCE MEMBERS No. 44-08 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-08 PRIVACY ISSUES WORKING GROUP No. 11-08 RE: SEC SANCTIONS REGISTRANT FOR REG. S-P VIOLATIONS RESULTING FROM INFORMATION SECURITY WEAKNESSES THE FIRM KNEW EXISTED The SEC recently...

[22859] September 11, 2008 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 4-08 RE: CONFERENCE CALL SCHEDULED THURSDAY, SEPTEMBER 18 AT 3:30 PM TO ELICIT FEEDBACK ON A NEW AUDITOR COMPLIANCE ATTESTATION Representatives from the Institute’s Operations Committee, together with the “big four”...

[22855] September 9, 2008 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 3-08 RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING IN WASHINGTON, D.C. ON OCTOBER 28 AND INFORMAL DINNER ON OCTOBER 27; RSVP BY OCTOBER 17 The next meeting of the Internal Audit Advisory Committee of the...

[22731] July 24, 2008 TO: COMPLIANCE MEMBERS No. 31-08INTERNAL AUDIT ADVISORY COMMITTEE No. 2-08RISK MANAGEMENT ADVISORY COMMITTEE No. 4-08 RE: RECENT REPORT ON THE STATE OF INTEGRATING GOVERNANCE, RISK, AND COMPLIANCE FUNCTIONS IN FINANCIAL SERVICES ENTERPRISES In February 2008, in...

    [22382]   March 31, 2008 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 1-08     RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING IN NYC ON MAY 13TH AND INFORMAL DINNER ON MAY 12TH; RSVP BY MAY 2ND   The next meeting of the Internal Audit Advisory Committee of the Investment...

  [21629]   September 21, 2007 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 7-07 RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING ON NOV. 8TH AND INFORMAL DINNER ON NOV. 7TH; RSVP BY OCTOBER 12TH   The next meeting of the Internal Audit Advisory Committee of the Investment Company...

[21437]   August 7, 2007 TO: COMPLIANCE MEMBERS No. 44-07 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-07 PRIMARY CONTACTS - MEMBER COMPLEX No. 16-07 SEC RULES MEMBERS No. 104-07 RE: ICI PUBLISHES WHITE PAPER ON THE ROLE OF CHIEF RISK OFFICERS WITHIN MUTUAL FUND ORGANIZATIONS   I am...

[21422]   August 1, 2007 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 5-07 RE: COMMENT REQUESTED ON CURRENT DRAFT OF RISK PRINCIPLES FOR ASSET MANAGERS   The Buy Side Risk Managers Forum (BSRMF) and Capital Market Risk Advisors have recently published a working draft of a paper, “Risk...