[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...
[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...
[32288] March 16, 2020 TO: International Internal Audit Advisory Committee RE: Registration Open for 22 April International Internal Audit Advisory Committee Conference Call Last week, I informed members of the ICI/ICI Global International Internal Audit Advisory Committee by email...
[32186] January 30, 2020 TO: Internal Audit Committee International Internal Audit Advisory Committee RE: RSVP Information for London Internal Audit Committee Meeting on Wednesday 22 April from 12:00-17:00; RSVP by Thursday, 9 April As I previously informed you in my 13th January...
[32173] January 27, 2020 TO: International Compliance Advisory Committee International Internal Audit Advisory Committee RE: FCA Publishes a Dear CEO Letter Outlining Its Asset Management Supervision Strategy Last week the Financial Conduct Authority (FCA) published its latest “Dear...
[32135] January 10, 2020 TO: International Internal Audit Advisory Committee RE: Next International Internal Audit Advisory Committee Meeting Scheduled for Wednesday, 22 April in London The next in-person meeting of the ICI/ICI Global International Internal Audit Advisory Committee...
[32131] January 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity...
[32081] December 6, 2019 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee International Compliance Advisory Committee International Internal Audit Advisory Committee RE: European Supervisory Authorities Statement on...
