[13505]
May 16, 2001
TO: ACCOUNTING/TREASURERS MEMBERS No. 11-01
CLOSED-END INVESTMENT COMPANY MEMBERS No. 17-01
COMPLIANCE ADVISORY COMMITTEE No. 22-01
INTERNATIONAL COMMITTEE No. 36-01
OPERATIONS MEMBERS No. 11-01
PRIMARY CONTACTS - MEMBER COMPLEX No. 34-01
SEC RULES MEMBERS No. 43-01
TRANSFER AGENT ADVISORY COMMITTEE No. 36-01
UNIT INVESTMENT TRUST MEMBERS No. 19-01
RE: FINAL PROGRAM FOR THE 2001 MUTUAL FUND COMPLIANCE CONFERENCE
The Investment Company Institute will sponsor its 2001 Mutual Fund Compliance
Conference on June 14-15, 2001, at the Capital Hilton Hotel, 16th and K Streets, NW,
Washington, D.C. Enclosed is the final conference brochure.
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. Please refer to the enclosed brochure for further details.
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.
If you have not yet registered 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. To make
your hotel reservations at the preferred room rate of $199 for a single or $224 for a double,
please call the Capital Hilton Hotel at 202/393-1000 or 1-800-HILTONS by May 23 and mention
that you will be attending the Institute’s conference.
2Please call our Conference Division at 202/326-5968 if you have any questions regarding
registration. We look forward to seeing you next month.
Kathy D. Ireland
Associate Counsel
Enclosure