New Date and Location for 2009 Mutual Fund Compliance Programs Conference; Special Joint Committee Meeting, May 8th
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April 1, 2009
TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 7-09COMPLIANCE ADVISORY COMMITTEE No. 4-09 RE: NEW DATE AND LOCATION FOR 2009 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE; SPECIAL JOINT COMMITTEE MEETING, MAY 8TH
The 2009 Mutual Fund Compliance Programs Conference will now be held onThursday, May 7th and Friday, May 8th at the Marriott Wardman Park hotel (2660 Woodley Park Road, NW) alongside the ICI's 2009 General Membership Meeting (GMM) in Washington, DC. This unique co-location will give attendees the opportunity to take part in GMM sessions and social events, while still benefitting from a distinct and focused program designed specifically for compliance professionals.
CONFERENCE HIGHLIGHTS
The Big Picture: What’s On The Horizon?
This segment features an interview with ICI President Paul Schott Stevens and ICI General Counsel Karrie McMillan, moderated by CCO Committee Chair Jim Davis discussing how the current system of regulation might change, what will become of money market funds, the ICI’s recommendations on regulatory reform and how this will impact CCOs.
Luncheon: The Era that Defined Wall Street Is Over: Now What?
The luncheon held in conjunction with GMM will feature remarks by Michael Lewis, Journalist and Author of Moneyball and Liar’s Poker.
CCO Lightning Round and Breakout Sessions
The Lightning Round will provide attendees the opportunity to have their compliance questions answered by a panel of compliance professionals including CCOs, outside counsel, and compliance consultants. As in previous years, attendees will also have the opportunity to have their questions answered during breakout sessions where they can informally discuss compliance issues with their colleagues at similarly-sized complexes. You can submit your questions in advance when registering for the conference.
Please visit the ICI conferences website at http://conferences.ici.org to register for the 2009 Mutual Fund Compliance Programs Conference. The hotel cutoff is April 10th so be sure to register today!
SPECIAL JOINT COMMITTEE MEETING
In conjunction with the Conference program, we have scheduled a joint meeting for members of the Institute’s Chief Compliance Officer and Compliance Advisory Committees. As part of the meeting’s activities, we have invited senior staff of the SEC’s Office of Compliance Inspections and Examinations and Division of Investment Management 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 no formal agenda will prepared. The meeting will take place at the conference site (Marriott Wardman Park, 2660 Woodley Park Road, NW) on Friday, May 8th and run from 1:00 p.m. to approximately 2:15 p.m. A buffet luncheon will be provided.
Due to limited space, this meeting is open only to 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, as well as any questions or issues you would like us to raise with the SEC staff during the discussion. If you have any other questions or comments, please contact me at tamara@ici.org or my assistant Lynnette Smith at lsmith@ici.org.
Tamara K. Salmon
Senior Associate Counsel
Please fax your response to Lynnette Smith at (202) 326-5827 by Tuesday, April 14th.
Attending Meeting Yes No Committee Member Alternate
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