©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete.
Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice.
[20187]
July 17, 2006
TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 13-06
RE: FALL 2006 CCO COMMITTEE MEETINGS; NOTICE AND DRAFT AGENDA
The Institute has begun planning the regional meetings of the CCO Committee that will be
held this fall. Members are welcome to attend any of the meetings. The agenda for each of these
meetings will be identical. A draft agenda is attached. We welcome additional agenda items that you
are interested in discussing.
To assist us in our planning efforts, please return the attached Meeting Response Form by
Friday, August 4th.
The dates and locations of the meetings, which will begin at 10:00 a.m. local time, are as
follows:
REGION DATE LOCATION
West Coast Wed., Sept. 27th Franklin Templeton Investments
1 Franklin Parkway
San Mateo, CA
Midwest Tues., Oct. 17th Ariel Capital Management/Mid-America Club
200 East Randolph Drive, 80th Floor
Chicago, IL
East Coast* Wed., Nov. 15th Investment Company Institute
1401 H Street, NW, 12th Floor
Washington, DC
* The East Coast meeting will be held the day after the SEC’s next National CCOutreach Seminar, which will be held in
Washington, DC on Tuesday, November 14th. The National Seminar will be webcast.
2
Each of the meetings will be followed by lunch. The Institute plans to hold a break out session
for small funds following lunch. These sessions are to provide CCOs of small fund companies an
opportunity to discuss their unique compliance concerns. It is expected that the meetings will end at
approximately 2:00 p.m.
As noted on the attached draft agenda, members are requested to bring a copy of the first
written annual report they prepared under the Mutual Fund Compliance Program Rule. We plan
to spend a significant amount of time at the meeting discussing these reports and members’ efforts to
prepare and present them.
If you have any questions about the upcoming meetings, please contact me by phone (202) 326-
5825 or email (tamara@ici.org).
Tamara K. Salmon
Senior Associate Counsel
Attachment no. 1 (in .pdf format)