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April 2, 2001
TO: ACCOUNTING/TREASURERS MEMBERS No. 8-01
CLOSED-END INVESTMENT COMPANY MEMBERS No. 9-01
COMPLIANCE ADVISORY COMMITTEE No. 15-01
INTERNATIONAL COMMITTEE No. 23-01
OPERATIONS MEMBERS No. 7-01
PRIMARY CONTACTS - MEMBER COMPLEX No. 24-01
SEC RULES MEMBERS No. 26-01
TRANSFER AGENT ADVISORY COMMITTEE No. 24-01
UNIT INVESTMENT TRUST MEMBERS No. 13-01
RE: 2001 MUTUAL FUND COMPLIANCE CONFERENCE - PRELIMINARY PROGRAM
As previously announced, the Institute will hold its 2001 Mutual Fund Compliance
Conference on Thursday and Friday, June 14 & 15, 2001, at the Capital Hilton Hotel, 16th and K
Streets, N.W., Washington, D.C. Enclosed are the preliminary program and a registration form.
The Conference is designed for experienced mutual fund industry professionals with
regulatory compliance responsibilities. It will feature panels covering a variety of mutual fund
compliance issues, including: portfolio compliance; use of technology for compliance support;
distribution; advertising; transfer agency issues; international compliance; privacy compliance;
trading issues; and codes of ethics.
We are pleased to announce that Lori Richards, Director of the Office of Compliance
Inspections and Examinations at the Securities and Exchange Commission, will be our luncheon
speaker on June 14th. In addition, please note that on June 15th we will hold informal breakfast
discussion groups to provide conference participants with the opportunity to discuss current
compliance issues with their peers.
To register for the Conference, please return the registration form and the appropriate
fee to the Institute’s Conference Division as soon as possible, or you may register on-line at
http://conferences.ici.org. The registration deadline is May 31. Please make your own hotel
reservations by calling the Capital Hilton at 202/393-1000 or 1-800-HILTONS. To ensure the
preferred room rate of $199 for a single or $224 for a double, please make your reservation no
later than May 18, and be sure to identify yourself as an Investment Company Institute
conference attendee.
2You may call our Conference Division at 202/326-5968 if you have any questions
regarding registration. We look forward to seeing you in June.
Kathy D. Ireland
Associate Counsel
Attachments
Attachment no. 1 (in .pdf format)