SEC DOCUMENT REQUEST LISTS FOR EXAM COVERING MUTUAL FUND AND ITS ADVISER, TRANSFER AGENT, AND DISTRIBUTION ARRANGEMENTS

[17571] May 24, 2004 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 9-04 RE: SEC DOCUMENT REQUEST LISTS FOR EXAM COVERING MUTUAL FUND AND ITS ADVISER, TRANSFER AGENT, AND DISTRIBUTION ARRANGEMENTS A mutual fund complex has shared with the Institute the document request lists it recently received from the San Francisco District Office of the Securities and Exchange Commission in advance of a routine examination by the SEC’s Office of Compliance, Inspections, and Examinations (OCIE). In particular, OCIE’s request consisted of the following three documents: • Investment Company Examination List of Books and Records Requested for Review, together with an attachment, “Shareholder Activity Workpaper;” • Investment Adviser Examination: List of Books and Records Requested for Review; and • Document Request List: Transfer Agent Examination. In connection with this examination, OCIE additionally requested, under separate cover, information relating to the funds’ revenue sharing and portfolio brokerage commission practices. A copy of each of the above mentioned requests is attached for your information. Barry E. Simmons Associate Counsel Attachment (in .pdf format)