[11573]
February 2, 2000
TO: ACCOUNTING/TREASURERS MEMBERS No. 4-00
COMPLIANCE ADVISORY COMMITTEE No. 6-00
OPERATIONS MEMBERS No. 4-00
PRIMARY CONTACTS - MEMBER COMPLEX No. 10-00
SEC RULES MEMBERS No. 9-00
TAX MEMBERS No. 4-00
RE: YEAR 2000 PORTFOLIO COMPLIANCE WORKSHOPS - MARK YOUR CALENDAR
______________________________________________________________________________
The Institute will be holding a series of portfolio compliance workshops in April of this year in
San Francisco, New York and Boston. As indicated in the attached preliminary program, the workshop
will cover various aspects of mutual fund portfolio compliance. It will provide an overview of applicable
requirements under the Investment Company Act, the Internal Revenue Code and other federal laws,
followed by more detailed discussions of prospectus compliance issues, mutual fund pricing and
liquidity, soft dollars and affiliated transactions. In addition, the panel will discuss the development of
compliance guidelines and procedures. The program will conclude with a dramatization of the handling
of a mutual fund portfolio compliance problem.
Panelists will include: Christine C. Carsman, Vice President and Senior Counsel, Wellington
Management Company, LLP; Michael Downer, Senior Vice President – Fund Business Management
Group, Capital Research and Management Company; Maryanne L. Roepke, Senior Vice President and
Treasurer, American Century Investments, Inc., and Bradley D. Takahashi, Assistant Vice President,
Franklin Mutual Advisers, Inc.
The program is designed for fund employees involved in portfolio compliance, including
attorneys, accountants, compliance officers and portfolio managers.
Registration for each workshop will begin at 8:30 a.m. and the program will run from 9:00 a.m.
to 4:00 p.m. Listed below are the dates and locations for the workshops.
San Francisco, California Hyatt Regency San Francisco
Wednesday, April 5 5 Embarcadero Center
San Francisco, CA 94111
Phone: (415) 788-1234
Room Rates: $245.00 single/$270.00 double
Hotel Cut-off Date: March 10, 2000
Boston, Massachusetts DoubleTree Guest Suites
Monday, April 10 400 Soldiers Field Road
Boston, MA 02134
Phone: (617) 783-0090
Room Rates: $169.00 single/double
Hotel Cut-off Date: March 17, 2000
New York, New York New York Marriott Financial Center
Tuesday, April 11 85 West Street
New York, NY 10006
Phone: (212) 385-4900
Room Rates: $245.00 single/double
Hotel Cut-off Date: March 17, 2000
Registration will be limited to 125 attendees, so it important to register as early as possible. Only
employees of Institute members may attend. To register, simply complete the form provided and return
it, along with a check for $275 for each registrant, to the Institute.
Please make your own hotel reservations. A block of rooms has been reserved in each hotel
under the name of the Investment Company Institute, so mention our name when you call. The
address, telephone number, and registration cut-off date for each hotel is listed above.
For additional information, please call the Institute’s Conference Division at
202/326-5968.
Barry E. Simmons
Assistant Counsel
Attachments