CCO Committee Meeting Set for November 18 Following SEC's National CCOutreach Program; Next Compliance Conference May 6-7, 2010

 

 

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August 31, 2009

TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 12-09     RE: CCO COMMITTEE MEETING SET FOR NOVEMBER 18 FOLLOWING SEC'S NATIONAL CCOUTREACH PROGRAM; NEXT COMPLIANCE CONFERENCE MAY 6-7, 2010

 

The Securities and Exchange Commission has announced that it intends to hold its next National CCOutreach program in Washington, D.C. on Tuesday, November 17th.   As in years past, the Institute’s CCO Committee will meet in Washington on the day following the SEC’s program, Wednesday, November 18th from approximately 10 a.m. to 3 p.m. More details on the committee meeting and its location will be provided when they become available.  Also, prior to the meeting we will solicit issues members would like to have discussed during the meeting.  In the meantime, please mark your calendars and plan to attend the meeting. 

 

In addition, please mark your calendars and plan to attend the Institute’s next annual Mutual Fund Compliance Program Conference that is scheduled for May 6-7 in Washington, DC. As with this year’s conference, next year’s conference will again be held in conjunction with the Institute’s General Membership Meeting.  More details regarding that conference and the General Membership Meeting will be provided when they are available. 

 

I look forward to seeing you this fall and next spring!

 

 

Tamara K. Salmon
Senior Associate Counsel