Securities Operations Advisory Group Content

[30042] July 18, 2016 TO: CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE EQUITY MARKETS ADVISORY COMMITTEE No. 24-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 30-16 SECURITIES OPERATIONS ADVISORY COMMITTEE SEC RULES MEMBERS No. 33-16 RE: ICI SUBMITS COMMENT LETTER TO SEC ON...

[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...

[30007] June 29, 2016 TO: CHIEF INFORMATION SECURITY OFFICER ADVISORY COMMITTEE EQUITY MARKETS ADVISORY COMMITTEE No. 22-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 29-16 SECURITIES OPERATIONS ADVISORY COMMITTEE SEC RULES COMMITTEE No. 28-16 RE: DRAFT ICI COMMENT LETTER TO SEC ON...

[30005] June 28, 2016 TO: SECURITIES OPERATIONS ADVISORY COMMITTEE RE: SECURITIES OPERATIONS ADVISORY COMMITTEE MEETING - TUESDAY, OCTOBER 11, 2016   The next meeting of the ICI’s Securities Operations Advisory Committee (SOAC) will take place on Tuesday, October 11, 2016, from 9:00 a...

[29972] June 9, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 29-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 26-16 INTERNATIONAL COMMITTEE No. 32-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ESMA PUBLISHES FINAL DRAFT STANDARDS REGARDING INDIRECT CLEARING ARRANGEMENTS FOR...

[29962] June 6, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 27-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 25-16 INVESTMENT COMMITTEE SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI GLOBAL AND THE INVESTMENT ASSOCIATION SUBMIT LETTER TO EUROPEAN COMMISSION TO CLARIFY...

[29957] June 6, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 26-16 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 37-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 24-16 INTERNATIONAL COMMITTEE No. 31-16 REGISTERED FUND CPO ADVISORY COMMITTEE SECURITIES OPERATIONS ADVISORY COMMITTEE...

[29948] June 1, 2016 TO: ICI GLOBAL TRADING & MARKETS COMMITTEE No. 22-16 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 35-16 INTERNATIONAL COMMITTEE No. 29-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: EU REGULATORS ISSUE FIRST SET OF QUESTIONS AND ANSWERS UNDER MARKET ABUSE REGULATION...

[29950] June 1, 2016 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 25-16 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 23-16 INTERNATIONAL COMMITTEE No. 30-16 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: DRAFT ICI GLOBAL LETTER TO EUROPEAN COMMISSION ON MARGIN REQUIREMENTS FOR UNCLEARED...