Investment Advisers Content

[30120] August 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 17-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 25-16 BROKER/DEALER ADVISORY COMMITTEE No. 26-16 CHIEF RISK OFFICER COMMITTEE No. 21-16 COMPLIANCE ADVISORY COMMITTEE No. 9-16 INVESTMENT ADVISERS COMMITTEE No. 14-16...

[30089] July 28, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 16-16 CHIEF RISK OFFICER COMMITTEE No. 20-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 8-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No...

[30035] July 13, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-16 CHIEF RISK OFFICER COMMITTEE No. 17-16 CLOSED-END INVESTMENT COMPANY MEMBERS No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 7-16 INVESTMENT ADVISERS COMMITTEE No. 12-16 RISK ADVISORY COMMITTEE No. 3-16 SEC RULES...

[30028] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 13-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 14-16 CHIEF RISK OFFICER COMMITTEE No. 16-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-16 COMPLIANCE ADVISORY COMMITTEE No. 6-16 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 33...

[30025] July 8, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-16 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-16 BROKER/DEALER ADVISORY COMMITTEE No. 22-16 CHIEF RISK OFFICER COMMITTEE No. 15-16 COMPLIANCE ADVISORY COMMITTEE No. 5-16 INVESTMENT ADVISERS COMMITTEE No. 10-16...

[30010] July 5, 2016 TO: BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 18-16 BROKER/DEALER ADVISORY COMMITTEE No. 20-16 CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-16 CHIEF RISK OFFICER COMMITTEE No. 14-16 COMPLIANCE ADVISORY COMMITTEE No. 4-16 INVESTMENT ADVISERS COMMITTEE No. 9-16...

[29912] May 16, 2016 TO: AML COMPLIANCE WORKING GROUP No. 2-16 BROKER/DEALER ADVISORY COMMITTEE No. 15-16 INVESTMENT ADVISERS COMMITTEE No. 8-16 OPERATIONS COMMITTEE No. 11-16 SEC RULES COMMITTEE No. 23-16 SMALL FUNDS COMMITTEE No. 14-16 TRANSFER AGENT ADVISORY COMMITTEE No. 19-16 RE...

[29850] April 22, 2016 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-16 CHIEF RISK OFFICER COMMITTEE No. 10-16 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 6-16 COMPLIANCE ADVISORY COMMITTEE No. 3-16 INVESTMENT ADVISERS COMMITTEE No. 7-16 RISK ADVISORY COMMITTEE No. 1-16 SEC RULES...

[29844] April 19, 2016 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-16 ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 4-16 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 26-16 INTERNATIONAL COMMITTEE No. 24-16 INVESTMENT ADVISERS COMMITTEE No. 6-16 SEC RULES COMMITTEE No. 18-16 SMALL FUNDS...

[29811] April 5, 2016 TO: INVESTMENT ADVISERS COMMITTEE No. 5-16 END OF DAY PRICING FORUM No. 5-16 RE: SEC CHAIR WHITE SPEECH ON PRIVATE MARKETS AND FINTECH   On March 31, SEC Chair Mary Jo White delivered a speech [1] that addressed the changing landscape of private start-up...