Internal Audit Advisory Content

[31855] July 15, 2019 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Chief Risk Officer Committee Closed-End Investment Company Committee Derivatives Markets Advisory Committee Fixed-Income Advisory Committee Internal Audit Committee...

[31816] June 21, 2019 TO: Bank, Trust and Retirement Advisory Committee Chief Risk Officer Committee Internal Audit Committee Risk Advisory Committee RE: OCC Publishes Its Semiannual Risk Perspective The National Risk Committee (NRC) of the Office of the Comptroller of the Currency...

[31819] June 21, 2019 TO: ICI Members ICI Global Members Internal Audit Committee International Internal Audit Advisory Committee SUBJECTS: Audit and Attest RE: SEC Fines KPMG $50 Million for Unlawful Use of PCAOB Data and Cheating on Training Exams The United States Securities and...

[31815] June 19, 2019 TO: ICI Members Investment Company Directors ICI Global Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Chief Compliance Officer Committee Internal Audit Committee Investment Advisers Committee Operations Committee Pension...

[31801] June 11, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee...

[31725] April 23, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Technology Committee Transfer Agent Advisory Committee SUBJECTS: Compliance...