Internal Audit Advisory Content

[31421] October 4, 2018 TO: Chief Compliance Officer Committee Chief Information Security Officer Advisory Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Small Funds Committee Technology Committee RE: SEC Sanctions Broker-Dealer/Adviser for Cyber...

[31407] September 25, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31375] September 7, 2018 TO: Internal Audit Committee RE: Registration Open for November 27 Internal Audit Committee Meeting and Dinner As you may recall, the Institute’s Internal Audit Committee will meet in Washington, D.C. on Tuesday, November 27 at the ICI’s offices at 1401 H...

[31374] September 7, 2018 TO: Internal Audit Committee International Internal Audit Advisory Committee RE: ICI Global Internal Audit Committee Will Meet in London on 31 October from 12:00-17:00 Followed by Networking Reception As you may recall, the next in-person meeting of the...

[31349] August 24, 2018 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE...

[31093] February 16, 2018 TO: Internal Audit Committee RE: April 18 Internal Audit Committee Meeting in New York The spring meeting of the Internal Audit Committee has been scheduled for Wednesday, April 18 from 9:00 a.m. to approximately 2:30 p.m. The meeting will be held at the...

[31010] January 5, 2018 TO: Internal Audit Committee RE: Dates to Save for the 2018 Meetings of ICI's Internal Audit Committee I hope each of you had an enjoyable holiday season! As we look forward to 2018, I wanted to let you know that we have set the dates for this year’s meetings...