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September 24, 1999
TO: COMPLIANCE ADVISORY COMMITTEE No. 37-99
RE: NOTICE OF MEETING - THURSDAY, NOVEMBER 4, 1999
______________________________________________________________________________
The next meeting of the Compliance Advisory Committee has been scheduled for
Thursday, November 4, 1999, at the Institute’s offices at 1401 H Street, N.W., Washington, D.C.
The meeting will be held in the David Silver Conference Room on the 12th floor, and will begin
at 10:00 a.m. A draft agenda will be sent to you before the meeting.
I am pleased to announce that Gene Gohlke, Associate Director, Office of Investment
Company/Investment Adviser Examinations and Oversight at the Securities and Exchange
Commission, has agreed to join us at approximately
11:30 a.m. for an informal discussion of current SEC examination issues and/or other issues that
may be of interest to the group. If there are particular issues you would like Gene to address,
please list them on the attached response form. After the discussion with Gene, lunch will be
served. Following lunch, we will take up any remaining agenda items.
Please complete the attached response form and return it by October 25th to Cheryl
DeShields of the Investment Company Institute (fax: 202/326-5827). I look forward to seeing
you on November 4th.
Michael J. Downer
Chairperson
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