April 1, 2004 BY ELECTRONIC DELIVERY Office of Regulations and Interpretations Employee Benefits Security Administration Room N-5669 U.S. Department of Labor 200 Constitution Avenue, NW Washington, DC 20210 Re: Automatic Rollover Regulation Ladies and Gentlemen: The Investment Company...
ICI Strongly Supports Proposed Increase to the SEC’s FY 2005 Budget More Resources Needed to Support Risk Assessment Initiative, Reinforce Response to Trading Scandals and Strengthen Mutual Fund Inspections Washington, DC, March 31, 2004 - The Investment Company Institute today said...
ICI Chairman’s Senate Testimony Urges Focus on Common Goal: Meaningful Reforms that Protect the Interests of Mutual Fund Shareholders Washington, DC, March 31, 2004 - In connection with his testimony before the Senate Banking Committee today, Investment Company Institute Chairman Paul...
March 31, 2004 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Proposed Rule Change by the American Stock Exchange LLC Relating to Audit Committee Meeting Requirements Applicable to Registered Closed-End Management...
Letter to the Editor as it appeared in The Wall Street Journal on March 26, 2004 Independent, Diligent and Committed In light of the concern about trading abuses involving mutual funds, we were disappointed with your March 17 article “Waking the Watchdog: As Scandals Mount, Boards of...
ICI President Comments on Inaccurate Media Report Washington, DC March 22, 2004 - In a speech to a mutual fund legal conference in California this morning, ICI President Matthew P. Fink characterized as “entirely inaccurate” the suggestion in a Wall Street Journal article today that...
2004 Mutual Funds and Investment Management Conference Keynote Address by Matthew P. Fink President, Investment Company Institute March 22, 2004 Palm Desert, California Good morning. It is a privilege to address you for the 13th time in my capacity as President of the Investment...
ICI Supports SEC Proposal on Codes of Ethics for Investment Advisers Letter Continues ICI Call for Reforms that Will Benefit Investors Washington, DC, March 15, 2004 - The Institute today submitted its comments on an SEC proposal to bolster investment adviser codes of ethics. The SEC...
March 15, 2004 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549-0506 Re: Investment Adviser Codes of Ethics (File No. S7-04-04) Dear Mr. Katz: The Investment Company Institute1 appreciates the opportunity to express its...
