International Compliance Advisory Committee Content

[32540] June 18, 2020 TO: ICI Members Accounting/Treasurers Committee CCO Advisory Issues Subcommittee Chief Compliance Officer Committee LIBOR Transition Working Group SEC Rules Committee Security Valuation Operations Committee SUBJECTS: Compliance Operations RE: LIBOR Update: SEC...

[32530] June 16, 2020 TO: ICI Members Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee Internal Sales Managers Roundtable Investment Adviser and Broker-Dealer Standards of Conduct Working Group...

[32529] June 16, 2020 TO: ICI Members Registered Fund CPO Advisory Committee SUBJECTS: Alternative Investments Closed-End Funds Compliance CPO/CTA Derivatives Fund Accounting & Financial Reporting Investment Advisers RE: ICI Submits Comments on CFTC Proposal to Revise Form CPO-PQR As...

[32413] April 24, 2020 TO: ICI Global Members Chief Compliance Officer Committee International Compliance Advisory Committee SUBJECTS: Compliance International/Global Operations RE: COVID 19 - UK FCA's Expectations for Wet-Ink Signatures In light of COVID-19 restrictions, the UK...

[32401] April 21, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee RE: COVID 19 - Central Bank of Ireland's Measures for Asset Managers Recognising...

[32372] April 9, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee RE: COVID 19 - UK FCA's Expectations for SM&CR for Solo-Regulated Firms On 3 April...

[32366] April 8, 2020 TO: Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee RE: COVID 19 - UK FCA's Further COVID 19 Guidance to Funds On April 6, the UK...

[32343] April 1, 2020 TO: ICI Global Members CCO Advisory Issues Subcommittee Chief Compliance Officer Committee Chief Risk Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee Technology Committee SUBJECTS: Compliance...

[32326] March 26, 2020 TO: ICI Global Members Chief Compliance Officer Committee International Compliance Advisory Committee International Internal Audit Advisory Committee SUBJECTS: Audit Committees Compliance International/Global Investment Advisers Operations Trading and Markets RE...

[32291] March 16, 2020 TO: International Compliance Advisory Committee RE: Registration Open for 21 April International Compliance Advisory Committee Conference Call Last week, I informed members of the ICI/ICI Global International Compliance Advisory Committee by email that, due to...