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December 27, 2011
TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 19-11 RE: WEBCAST OF SEC NATIONAL CCOUTREACH ON JANUARY 31ST
As we previously informed you, the SEC will be hosting its next National CCOutreach for chief compliance officers of federally-registered investment advisers and mutual funds. According to the SEC staff, they had over 700 persons register for the approximately 500 seats available for the program. Persons who made the cut should have already received an email from the SEC confirming their attendance at the program. If you registered for the SEC’s program but were unable to get in, the Institute will provide a live webcast of the program at our offices. This is primarily intended to accommodate those persons who are both interested in viewing the SEC’s program on January 31st and attending the ICI’s CCO Committee meeting on February 1st.
To ensure we have sufficient space for those persons who would like to view the webcast at the ICI’s offices, please let us know no later than Friday, January 8, 2012 whether you plan to view the webcast from at our offices. You may let us know by contacting Gwen Kelly by phone (202-326-5818) or email (gwen.kelly@ici.org) no later than the close of business on January 8th.
I hope you will plan to attend the ICI’s CCO Committee meeting on February 1st. Drew Bowden, formerly of Legg Mason, who recently joined the SEC’s Office of Compliance Inspections and Examinations (OCIE) to oversee the inspections of investment advisers and investment companies, will be joining us for a portion of the meeting. Please visit the following link to register for the CCO Committee meeting: http://www.ici.org/reg/cco .
Tamara K. Salmon
Senior Associate Counsel