Schedule of ICI's 2011 CCO Committee Conference Calls to Discuss Members' Compliance Issues; In-Person Meeting On May 4th

 

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January 7, 2011

TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-11 RE: SCHEDULE OF ICI'S 2011 CCO COMMITTEE CONFERENCE CALLS TO DISCUSS MEMBERS' COMPLIANCE ISSUES; IN-PERSON MEETING ON MAY 4TH

 

To provide members of the ICI’s CCO Committee a forum to discuss compliance issues and concerns outside of the Committee’s in-person meetings, we have scheduled quarterly conference call of the Committee.  The dates of and protocol for these calls are set forth below. 

Schedule of Calls

The calls will take place from 2-3:15 Eastern on each of the following dates:

Thursday, March 17th
Tuesday, July 12th
Wednesday, September 14th
Tuesday, December 13th

The Call’s Protocol

In advance of each call, I will send an email reminding members of the Committee of the upcoming call and asking members who plan to participate in the call to (1) RSVP to obtain the call-in information and (2) submit issues you would like to have added to the call agenda – typically these issues are questions that members would like to have their colleagues’ input on.   The call’s agenda will be circulated in advance of each call to members who have RSVP’d for the call.  This agenda will consist of the issues submitted by members and any regulatory or other updates that would be of interest to the Committee.  During the call, the member who added the issue to the agenda will be asked to pose the question to the Committee for discussion.  Members who have participated in previous Committee calls with a similar format have found them to be very informative and valuable.  Of course, the value derives in large part from members raising issues for inclusion on the agenda and call participants being willing to actively discuss those issues.  Accordingly, I encourage each of you to submit issues for the call when you receive my email reminding you of the call, and to actively participate in the call’s discussion.

In-Person Committee Meeting Reminder

Please note that the next in-person meeting of the Committee will take on May 4, 2011 from 12-2:45 in Washington, DC.  This meeting is being held in conjunction with, and the day before, the ICI’s 2011 Mutual Fund Compliance Programs Conference.  Please look for the memo announcing that meeting and providing RSVP instructions, which you should receive shortly.  Registration for the conference, which will take place on May 6-7, will open later this month. 

If you have any questions regarding the calls or the upcoming meeting, please do not hesitate to contact me or the Chair of the Committee, Pauline Scalvino of Vanguard.  I may be reached by phone at 202-326-5825 or by email at tamara@ici.org.  Pauline may be reached by phone at 610-669-2165 or by email at pauline_c_scalvino@vanguard.com.  Pauline and I look forward to your participating on this year’s quarterly calls and to seeing you at the meeting in May! 

 

Tamara K. Salmon
Senior Associate Counsel