Special CCO/Compliance Joint Meeting To Be Held During the Institute's 2010 Mutual Fund Compliance Programs Conference

 

 

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April 7, 2010

 

TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-10
COMPLIANCE ADVISORY COMMITTEE No. 6-10     RE: SPECIAL CCO/COMPLIANCE JOINT MEETING TO BE HELD DURING THE INSTITUTE'S 2010 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE

 

In conjunction with the Institute’s Mutual Fund Compliance Programs Conference, which will be held on May 6-7, 2010 in Washington, D.C., we have scheduled a joint meeting for members of the Institute’s CCO and Compliance Advisory Committees.  As with the previous joint meetings, this meeting will largely consist of members of the senior staff of the SEC’s Office of Compliance Inspections and Examinations and Division of Investment Management providing updates on their activities and answering questions posed by members of the Committees on an informal basis.  Because the discussion will be in a question and answer format, there will be no formal agenda for the meeting.  The meeting will take place Friday, May 7th upon conclusion of the conference at the conference hotel (the Washington Marriott Wardman) from 1 -2:15 p.m. and lunch will be provided. 

 

Due to limited space, this meeting is limited to members of the Institute’s CCO and Compliance Advisory Committees, or their substitute.  If you plan to attend the meeting, please contact Gwen Kelly either by phone (202-326-5818) or email (gwen.kelly@ici.org).  If there are any questions you would like to ask the SEC staff, please let me now.  I may be reached by phone at 202-326-5825 or by email at tamara@ici.org. 

 

Tamara K. Salmon
Senior Associate Counsel