Internal Audit Advisory Content

[31652] March 14, 2019 TO: ICI Members Chief Risk Officer Committee Internal Audit Committee International Internal Audit Advisory Committee International Operations Advisory Committee Operations Committee SUBJECTS: International/Global Risk Oversight RE: FCA Publishes "Dear CEO LIBOR...

[31653] March 14, 2019 TO: ICI Members Chief Risk Officer Committee Internal Audit Committee International Internal Audit Advisory Committee International Operations Advisory Committee SUBJECTS: International/Global RE: FCA Publishes Finalised Guidance Relating to Senior Managers and...

[31609] February 12, 2019 TO: Internal Audit Committee RE: April 17 Internal Audit Committee Meeting in Boston The spring meeting of the Internal Audit Committee has been scheduled for Wednesday, April 17. The meeting will be held at the offices of Fidelity Investments, located at 245...

[31539] January 2, 2019 TO: Chief Compliance Officer Committee Internal Audit Committee Small Funds Committee RE: FINRA Publishes Report on Selected Cybersecurity Practices Earlier this month, the Financial Industry Regulatory Authority (FINRA) published a Report on Selected...

[31472] November 9, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee RE: OCIE Publishes Risk Alert Announcing Focus During Its Risk-Based Exams of Registered Investment Companies The SEC’s Office of Compliance Inspections and...