Notice of Internal Audit Advisory Committee Meeting In DC on July 31st; Informal Dinner on July 30th; RSVP By July 19th

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June 20, 2013

TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 5-13 RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING IN DC ON JULY 31st ; INFORMAL DINNER ON JULY 30th ; RSVP BY JULY 19th

The next meeting of the Internal Audit Advisory Committee of the Investment Company Institute (ICI) is scheduled for Wednesday, July 31st from 10:00 a.m. to 2 p.m. at the ICI’s offices, 1401 H Street, NW, Washington, DC.   If you plan to attend the meeting you must register as indicated below.  When you register, you will also be asked to submit issues for discussion at the meeting, which will be included in the final agenda. 

In addition to the issues raised by members, we will have two guest speakers at the meeting.  These two speakers are Kenneth Moreland and Mavis Kelly.  Mr. Moreland is the Chief Financial Officer and Treasurer for T. Rowe Price, who also oversees the Internal Audit function at the firm.  He will engage in an informal dialogue with the Committee regarding his perspectives on the role of internal auditors.  Our other guest speaker is Mavis Kelly, an Assistant Director in the SEC’s Office of Compliance Inspections and Examinations (OICE), who is the point person on the SEC’s ongoing sweep of mutual fund distribution arrangements.  She will provide the Committee an overview of the ongoing sweep and other initiatives and staff changes within OCIE.   Finally, Jim Risbon, who was in charge of the recent benchmarking survey of the Committee, will provide the Committee members an overview of some of the survey’s findings.*  A draft agenda will be circulated in advance of the meeting.

In addition to the meeting on July 31st, there will be an informal dinner of the Committee on Tuesday, July 30th at a place and time to be determined.  Further details regarding the dinner will be provided to attendees as soon as they become available.  All persons attending the dinner will be billed for their pro-rata share of the total cost following the dinner.

If you plan to attend any of the Committee meeting or the dinner, you must register no later than Friday, July 19th by contacting Kiera Robinson by email (kiera.robinson@ici.org) or phone (202) 326-5818.  When you register, please provide Kiera an issue you would like added to the agenda. 

To assist you in your travel arrangements, below are hotels that are within walking distance of the ICI.  Please note that the Institute has not made any special arrangements with any of these hotels and Committee members are responsible for making their own hotel arrangements.

I look forward to receiving your agenda issues and hope to see you at the upcoming meeting!

 

Tamara K. Salmon
Senior Associate Counsel

 

Hotel Suggestions

Hotels that are within walking distance of the ICI are as follows:

Hilton Garden Inn 815 14th Street NW 202-783-7800 Sofitel Lafayette Square ($$) 806 15th Street, NW 202-730-8800 Crowne Plaza Hotel 14th & K Streets, NW 202-682-0111 JW Marriott 1331 Pennsylvania Ave., NW 202-393-2000 Willard Intercontinental ($$) 1401 Pennsylvania Ave., NW 202-628-9100 Hotel Washington Pennsylvania & 15th Streets, NW& 202-638-5900