Memo #
24726

CCO Committee Call Scheduled for Fri., Dec. 10th at 2pm; In-person Meeting Scheduled for Wed., May 5th at Noon in Washington, DC
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[24726]

 

November 22, 2010

TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-10 RE: CCO COMMITTEE CALL SCHEDULED FOR FRI., DEC. 10TH AT 2PM; IN-PERSON MEETING SCHEDULED FOR WED., MAY 5TH AT NOON IN WASHINGTON, DC

 

Due to the SEC not scheduling a National CCOutreach program this fall, the Institute did not schedule an in-person meeting of our CCO Committee.  We have instead decided to hold a conference call of the Committee.  This call is scheduled for Friday, December 10th from 2-3:30 p.m. (Eastern).  The agenda for the call includes:

  • Discussion of the ICI’s focus in the wake of  the Dodd-Frank Act;
  • A preview and discussion of the draft program for the ICI’s 2011 Mutual Fund Compliance Programs Conference; and
  • “Shop Talk,” which will consist of questions of members of the Committee submitted in advance of the call.  The format of this portion of the call will consist of the member who submits the issue teeing it upon for a discussion among members. 

To ensure we have enough phone lines reserved for participants, if you plan to participate in the call, please email Gwen Kelly at gwen.kelly@ici.org no later than Monday, December 6th.  In advance of the call, Gwen will provide persons who RSVP the call-in information as well as materials for the call.  If you have any questions about the call, please contact the undersigned by email (tamara@ici.org) or phone (202-326-5825).

For planning purposes, please note that the next in-person meeting of the Committee is scheduled for Wednesday, May 4th from noon until 2:45 p.m.  The meeting will be held in Washington, DC in advance of the ICI’s Mutual Fund Compliance Programs Conference, which is being held from 8:30 a.m. on Thursday, May 5th until approximately 12:30 on Friday, May 6th.  As with last year’s conference, the 2011 conference will be held in conjunction with the Institute’s General Membership Meeting and Operations and Technology Conference as well as with the IDC’s Directors Workshop.  More information about the meeting and the conference events will be provided at a future date.

Also, to supplement the in-person meetings of the Committee, the ICI plans to hold quarterly calls of the Committee beginning in 2011.  These calls will likely occur on dates in March, June, September, and December.  Once we settle on the dates for these calls, we will let you know so you can add them to your calendar. 

If you have any questions about or suggestions regarding the Committee, please do not hesitate to contact me or Pauline Scalvino, the Chair.  I hope you have a safe and enjoyable Thanksgiving and that you will be able to join us for the call on December 10th – don’t forget to RSVP for the call!

 

Tamara K. Salmon
Senior Associate Counsel