Memo #
24842

Joint CCO/Compliance Committee Meeting To Be Held May 4th In Advance Of The ICI's 2011 Compliance Programs Conference
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[24842]

January 7, 2011

TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-11
COMPLIANCE ADVISORY COMMITTEE No. 1-11 RE: JOINT CCO/COMPLIANCE COMMITTEE MEETING TO BE HELD MAY 4TH IN ADVANCE OF THE ICI’S 2011 COMPLIANCE PROGRAMS CONFERENCE

 

A joint meeting of the ICI’s CCO and Compliance Advisory Committees has been scheduled in conjunction with the Institute’s Mutual Fund Compliance Programs Conference.  The meeting will be held on Wednesday, May 4th from 12-2:45 at the Washington Marriott Wardman hotel.  Lunch will be served.  While the Compliance Programs Conference will not begin until May 5th, the opening session of the Institute’s General Membership Meeting, which is again being held in conjunction with the conference, will begin immediately following the joint committee meeting (i.e., from 3-5 p.m.).

This year’s meeting is being held in advance of the conference, rather than at the end, to better accommodate members’ travel plans.  While members of the senior staff of the SEC’s Office of Compliance Inspections and Examinations and Division of Investment Management have been invited to provide updates on their activities and answer questions posed by members of the Committees on an informal basis, prior to their arrival, we will have ample time to discuss Committee business and members’ issues.  Accordingly, we welcome members’ providing us issues and questions you would like to have added to the agenda. 

Due to limited space, this meeting is restricted 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) or fax the attached page of this memo no later than Wednesday, April 20th to Ms. Kelly at 202-326-5827.  If you have any questions, please do not hesitate to contact me by phone (202-326-5825) or email (tamara@ici.org). 

 

Tamara K. Salmon
Senior Associate Counsel

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