Fall 2007 CCO Committee Meetings Notice; RSVP By Oct. 5th

 

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September 21, 2007

TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 20-07 RE: FALL 2007 CCO COMMITTEE MEETINGS NOTICE; RSVP BY OCT. 5TH

 

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 agendas for the meetings are expected to be largely identical.  However, to ensure that the meetings are valuable to attendees, we are asking each attendee to provide on the Meeting Response Form at least one issue you would like to have discussed at the meeting.  In addition, if there are any updates or issues you would like to have the ICI staff address at the meeting, please provide those as well.  Once we have gathered this information from attendees, we will circulate a draft meeting agenda. 

To assist us in our planning efforts, please return the attached Meeting Response Form by Friday, October 5th.   Completed forms should be faxed to Tami Salmon at 202-326-5839.

The meetings will begin at 10:00 a.m. local time and last until approximately 2:00 p.m.  Lunch will be provided. [1]  The dates and locations of the meetings are as follows: 

Region                            Date                                          Location                                                       

West Coast                            Tues., Oct. 30th               Franklin Templeton Investments             

                                                                                    Executive Board Room

Building 920, 4th Floor

                                                                                    One Franklin Parkway

                                                                                    San Mateo, CA 

East Coast [2]                            Thurs., Nov. 15th              Investment Company Institute

                                                                                    1401 H Street, NW, 12th Floor

                                                                                    Washington, DC

Midwest                            Tues., Nov. 27th              Ariel Capital Management/Mid-America Club

                                                                                    200 East Randolph Drive, 80th Floor

                                                                                    Chicago, IL

If you have any questions about the upcoming meetings, please contact me by phone at (202) 326-5825 or email (tamara@ici.org).

 

Tamara K. Salmon
Senior Associate Counsel

Attachment

endnotes

 [1] If requested by attendees, the Institute will hold a break out session for small funds following the formal committee meeting to provide CCOs of small fund companies an opportunity to discuss their unique compliance concerns. 

 [2] 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 Wednesday, November 14th.  The National Seminar will be webcast.  More information about the SEC’s program is available at: http://www.sec.gov/info/ccoutreach.htm.