[11559]
January 20, 2000
TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 1-00
BROKER/DEALER ASSOCIATE MEMBERS No. 1-00
COMPLIANCE ADVISORY COMMITTEE No. 3-00
CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 1-00
CONTINUING EDUCATION/TRAINING MEMBERS No. 1-00
DIRECT MARKETING COMMITTEE No. 3-00
HUMAN RESOURCES FORUM No. 1-00
PRIMARY CONTACTS - MEMBER COMPLEX No. 4-00
PUBLIC INFORMATION COMMITTEE No. 3-00
RESEARCH COMMITTEE No. 3-00
SALES FORCE MARKETING COMMITTEE No. 3-00
SEC RULES COMMITTEE No. 12-00
SHAREHOLDER COMMUNICATIONS COMMITTEE No. 2-00
RE: ADVERTISING COMPLIANCE SEMINARS
______________________________________________________________________________
The Investment Company Institute will hold one-day seminars on the basics of mutual fund advertising
and sales literature regulation and electronic distribution in three cities this year. Speakers will include
Thomas Pappas, Director, Advertising and Investment Companies Regulation, National Association of
Securities Dealers Regulation, Inc.; Steve Miyao, Senior Vice President of kasina, LLC, a management
consulting firm that provides e-business strategy consulting services and products to financial services
firms; as well as industry executives. The seminars are designed for mutual fund company employees
involved with marketing, communications, electronic distribution and compliance.
Registration for these seminars will be limited to employees of Institute member organizations and their
advertising/design/public relations agencies. Agency personnel will be required to produce a letter from
the ICI member with which they have a business relationship. Please register early, as space will be
limited. Also, please keep in mind that it may not be possible to accommodate walk-in registrations.
Preliminary agendas for each of the sessions are attached. The Investment Company Institute reserves
the right to alter the agendas as needed.
The seminars will begin at 9:30 am and end at approximately 4:15 pm. Lunch will be served. Business
attire is appropriate for the seminars.
Dates and Locations:
New York, NY Tuesday, April 4 The Roosevelt Hotel
Madison Avenue at 45th Street
New York, NY 10017
212/661-9600
Room Rates: $205.00 single/double Reserve by: March 13, 2000
San Francisco, CA Thursday, April 13 The Radisson Miyako Hotel
1625 Post Street
San Francisco, CA 94115
415/922-3200
Room Rates: $169.00 single/double Reserve by: March 15, 2000
Boston, MA Friday, June 2 The Colonnade Boston
120 Huntington Avenue
Boston, MA 02116
617/424-7000
Room Rates: $195 single/double Reserve by: May 9, 2000
Please make your own hotel reservations by calling the hotel directly. To receive the special room rate
that has been arranged at the hotel you must mention the Investment Company Institute when making
your reservation. Also, you must reserve your hotel room by the date indicated to obtain the rate.
How to Register:
To register, complete the attached registration form and return it, along with a check made payable to
the Investment Company Institute for $225 per registrant (non-members should submit a check of $325
per registrant). Participation in each program is limited, so please register as soon as possible.
Every effort will be made to hold these seminars on the dates and in the cities listed. However, due to
unforeseeable circumstances, it may be necessary to cancel or reschedule some of the meetings. Should
it become necessary to cancel one or more of the seminars, the Institute assumes no liability for non-
refundable transportation costs, hotel accommodations or additional costs incurred by registrants.
More Information:
For more registration or logistical information, please contact the Conference Division at 202/326-5968.
For additional information on the program, please contact me at 202/326-5883.
Linda Brenner
Director, Operations and Training
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