Internal Audit Advisory Content

[33091] February 5, 2021 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Fixed-Income Advisory Committee Investment Advisers Committee SEC Rules Committee Securities Operations Advisory Committee Small Funds Committee SUBJECTS: Audit and...

[32985] December 16, 2020 TO: ICI Members SUBJECTS: Audit and Attest Compliance Disclosure Fund Accounting & Financial Reporting RE: SEC Issues ADI Addressing Risk Disclosure for Funds Investing in Emerging Markets The Division of Investment Management’s Disclosure Review and...

[32965] December 4, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: SEC...

[32859] October 26, 2020 TO: ICI Members SUBJECTS: Audit and Attest Closed-End Funds Fund Accounting & Financial Reporting RE: SEC Issues Dear CFO Letter for Investment Companies On October 23, 2020 the staff of the Chief Accountant’s Office of the Division of Investment Management...

[32853] October 22, 2020 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee SUBJECTS: Audit and Attest Audit Committees RE: SEC Adopts Amendments to Auditor Independence Rule The Securities and Exchange Commission recently adopted amendments to its auditor...

[32740] September 4, 2020 TO: Internal Audit Committee RE: Upcoming ICI Internal Audit Committee Event: Virtual Committee Meeting on Tuesday, November 17 from 9am-Noon Please note that we have set the date for the next virtual meeting of ICI’s Internal Audit Committee. It will be held...

[32671] August 13, 2020 TO: ICI Members Broker/Dealer Advisory Committee Chief Compliance Officer Committee Chief Information Security Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance COVID-19...

[32658] August 5, 2020 TO: ICI Members Investment Company Directors Accounting/Treasurers Committee Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Operations Committee Small Funds Committee Transfer Agent Advisory Committee...

[32604] July 16, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Audit and Attest Audit Committees Compliance Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight Investment Advisers Operations Recordkeeping Risk Oversight Valuation RE: ICI Submits...