Memo #
20870

Special Joint Meeting to be Held During the Institute's 2007 Mutual Fund Compliance Programs Conference
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[20870]

February 15, 2007

TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-07
COMPLIANCE ADVISORY COMMITTEE No. 1-07     RE: SPECIAL JOINT MEETING TO BE HELD DURING THE INSTITUTE’S 2007 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE

 

In conjunction with the Institute’s Mutual Fund Compliance Programs Conference, which will be held on April 19-20, 2007 in Washington, DC, we have scheduled a joint meeting for members of the Institute’s CCO Committee and Compliance Advisory Committee.  As part of the meeting’s activities, we have invited senior staff of the SEC’s Office of Compliance Inspections and Examinations to attend the meeting to discuss issues with committee members and answer questions on an informal basis.  The discussion will be in a question and answer format, so as a result there will be no formal agenda prepared.  The meeting will take place at the conference site (Mayflower Hotel at 1127 Connecticut Avenue, NW) on Friday, April 20th and run from 12:30 p.m. to 2:00 p.m.  A buffet luncheon will be provided.

 

Due to limited space, this meeting is for members of the Institute’s CCO and Compliance Advisory Committees (or their alternates) who will be attending the conference.  Please indicate in the space provided below whether you or an alternate will be attending the meeting.  If you have any comments or questions, including questions or issues you would like us to raise with the SEC staff at the meeting, please contact me at the Institute at (202) 326-5825 (phone), or at tamara@ici.org (email).

Tamara K. Salmon
Senior Associate Counsel

 

Please fax your response to Suzy Richardson at (202) 326-5827 by Friday, March 30th. 

 

Attending Meeting     Yes                          No                         Committee Member                  Alternate             

 

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