Special CCO/Compliance Joint Meeting to be Held May 1st Before the ICI Compliance Programs Conference; RSVPs Due by April 12th

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January 25, 2013

TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-13
COMPLIANCE ADVISORY COMMITTEE No. 1-13 RE: SPECIAL CCO/COMPLIANCE JOINT MEETING TO BE HELD MAY 1ST BEFORE THE ICI COMPLIANCE PROGRAMS CONFERENCE; RSVPS DUE BY APRIL 12TH

 

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. [1]  The meeting will be held on Wednesday, May 1st from 12-2:30 p.m. at the Washington Marriott Wardman Park hotel, [2] which is where the conference is also being held.  There is no charge for attending the meeting [3] and lunch will be served.  While the Compliance Programs Conference will not begin until May 2nd, the opening session of the Institute’s General Membership Meeting, which coincides with the Compliance Program Conference, will begin immediately following the joint Committee meeting (i.e., from 3-4:45 p.m.). 

Due to limited space, this meeting is restricted to members of the ICI’s CCO and Compliance Advisory Committees, or their substitutes.  If you plan to attend the meeting, you must register for it via this link: www.ici.org/reg/cco .  When you register, please consider providing an issue for discussion at the meeting.  PLEASE DO NOT PLAN TO ATTEND THE MEETING UNLESS YOU HAVE REGISTERED FOR IT VIA THE ABOVE LINK BY APRIL 12th.

The meeting’s agenda will consist of an informal interaction with members of the SEC’s staff as well as a discussion of members’ issues.  So far, both Drew Bowden (OCIE) and Doug Scheidt (Division of Investment Management) have agreed to join us for part of our meeting.  (Additional OCIE and Division of Investment Management staff have been invited to join us as well.)  To assist us with the members’ issues portion of the meeting, we encourage you when you register to provide us with any issues you would like to have discussed at the meeting. 

 

Tamara K. Salmon
Senior Associate Counsel

endnotes

[1] You may register for the conference through this link: http://gmm.ici.org/. Persons who register for the Compliance Conference may also attend sessions of the General Membership Meeting or the Operations and Technology Conference, which are occurring simultaneously with the Compliance Conference.  Programs for each of these conferences are available through this link.

[2]  Hotel reservations may be made through this link: https://resweb.passkey.com/Resweb.do?mode=welcome_gi_new&groupID=17712397. 

[3]  There is a charge assessed for attending the conference.  While it is not necessary to register for the Conference in order to attend the Committee meeting, members planning to attend the Committee meeting must RSVP as indicated in this memo.