Memo #
31572

Registration Open - May 1 CCO/Compliance Advisory Committee Meeting in Washington, DC
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[31572]

January 23, 2019 TO: Chief Compliance Officer Committee
Compliance Advisory Committee RE: Registration Open - May 1 CCO/Compliance Advisory Committee Meeting in Washington, DC

 

The next in-person meeting of ICI’s Chief Compliance Officer and Compliance Advisory Committees will be held at the Marriott Wardman Park in Washington, DC on Wednesday, May 1, 2019 from 9:00 a.m. to 2:30 p.m. The meeting will be held immediately prior to the start of the ICI’s Compliance Programs Conference on May 2nd.   

CCO Committee Meeting

While there is no charge to attend the CCO Committee meeting, we ask members to register no later than Friday, April 19 so we know how many attendees to expect. To register, please use this link: www.ici.org/reg/cco. When registering, please submit any issues/topics you’d like to have discussed at the meeting, as those issues will be the focus of the meeting’s agenda.  [As noted below, if you are planning to attend the Compliance Conference, you will also use the meeting link to register for one of the Conference’s Breakout Discussion Breakfast Sessions.]  Meeting details and the draft meeting agenda will be provided in late April only to those members who register for the meeting.

As is the tradition with our May meeting, the last hour of the meeting will consist of an informal dialogue with the staff of the SEC. I am extending invitations to the staff of OCIE, the Division of Investment Management, and Enforcement. 

Compliance Conference

The Compliance Programs Conference will follow the Committee meeting on May 2-3.  When you complete your committee meeting registration, you will see a link to register for the conference as well as a link to book a hotel room if you’re not attending the conference.  Importantly, if you are planning to attend one of the Breakout Discussion Breakfast Sessions that precede the official start of the Conference on May 2nd, you will register for your Session when you register to attend the Committee meeting.  These Sessions will be held on Thursday, May 2nd from 7:45-8:45 a.m. and we have revised the meeting registration form to include them.  If you are not planning to attend the Conference or one of these Sessions, you may skip that portion of the registration form. 

More information about the conference, including the program, is available here: http://gmm.ici.org/

I hope to see you in May!  In the meantime, if I can be of any assistance to you, please send me an email (tamara@ici.org) or give me a call (202-326-5825).

 

Tamara K. Salmon
Associate General Counsel