March 14, 1989
TO: MEMBERS - ONE PER COMPLEX NO. 7-89
OPERATIONS MEMBERS NO. 11-89
SEC RULES MEMBERS NO. 17-89
TAX MEMBERS NO. 10-89
ACCOUNTING/TREASURERS COMMITTEE NO. 12-89
RE: PORTFOLIO COMPLIANCE WORKSHOPS
__________________________________________________________
The Institute is holding a series of Portfolio Compliance
Workshops this year in San Francisco, New York and Boston. The
program will cover both procedural matters (such as how to
implement and maintain an effective system for portfolio
compliance) as well as specific provisions under the 1940 Act,
Internal Revenue Code and selected state statutes that regulate
portfolio investments. The panelists will be Barbara Fraser,
Merrill Lynch Asset Management (New York and Boston); Mark
Goldfus, Merrill Lynch Asset Management (San Francisco);
Katherine Heidlage, New England Securities; Karen Kay, Putnam
Management Company; and Thomas London, MFS Financial Services.
The following are the dates and locations for the
workshops:
Thursday, May 4 Hyatt on Union Square
345 Stockton
San Francisco, CA 94105
415/398-1234
Thursday, June 8 The Omni Park Central
870 Seventh Avenue
New York, NY 10019
212/484-3300
Wednesday, June 28 The Ritz-Carlton
15 Arlington Street
Boston, MA 02117
617/536-5700
The workshops are scheduled to run from 9:00 a.m. to 4:00
p.m. with ample time for questions from attendees throughout. A
preliminary agenda is attached.
Registration for these workshops is restricted to employees
of ICI member mutual funds and their outside counsel. Please
register promptly as space may be limited. To register, simply
complete the form provided and return it, along with a check for
$125 for the first registrant and $100 for each additional
registrant within the same company, to the Institute. A
registration form is attached.
Please make your own hotel reservations if you need a hotel
room. A block of rooms has been reserved in each hotel under the
name of Investment Company Institute, so mention our name when
you call. The address and telephone number of each hotel is
listed above.
For additional information, please call Lauren Graham at
202/293-7700.
Craig S. Tyle
Assistant General Counsel
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