November 21, 1991
TO: MEMBERS - ONE PER COMPLEX NO. 61-91
OPERATIONS MEMBERS NO. 31-91
SEC RULES MEMBERS NO. 57-91
TAX MEMBERS NO. 52-91
ACCOUNTING/TREASURERS COMMITTEE NO. 24-91
RE: 1992 PORTFOLIO COMPLIANCE WORKSHOPS
__________________________________________________________
The Institute will be holding a series of portfolio
compliance workshops over the next few months in San Francisco,
New York and Boston. The program will cover various aspects of
mutual fund portfolio compliance, including applicable
requirements under the Investment Company Act, the Internal
Revenue Code, other federal laws and selected state statutes.
Several new topics have been added to the 1992 program, including
valuation issues, requirements for money market funds, SEC
inspections and enforcement, and a fund's rights as shareholder
and creditor. A preliminary agenda is attached.
Panelists will be Mark Goldfus, Merrill Lynch Asset
Management; Katharine Heidlage, New England Securities; Karen
Kay, Putnam Management Company; and Thomas London, MFS Financial
Services.
The program is designed for fund employees involved in
portfolio compliance, including attorneys, accountants,
compliance officers and portfolio managers. The New York and
Boston panels are open only to Institute members. The San
Francisco panel will be open to Institute members and to outside
law and accounting firms with ICI member connections.
The following are the dates and locations for the
workshops:
Thursday, February 6 Hotel Nikko San Francisco
222 Mason Street
San Francisco, CA 94102
415/394-1111
Thursday, February 27 Le Parker Meridien New York
118 W. 57th Street
New York, NY 10019
212/245-5000 ext. 7474
Thursday, March 19 The Back Bay Hilton
40 Dalton Street
Boston, MA 02115
617/236-1100
Each workshop is limited to 100 attendees. Last time the
Institute held this program, two of the workshops filled up
early, so it is important to register as promptly as possible.
To register, simply complete the form provided and return it,
along with a check for $175 for the first registrant and $100 for
each additional registrant within the same firm, to the
Institute.
Please make your own hotel reservations. A block of rooms
has been reserved in each hotel under the name of the Investment
Company Institute, so mention our name when you call. The
address and telephone number of each hotel is listed above.
For additional information, please call Geoffrey Burke at
202/955-3508.
Craig S. Tyle
Deputy General Counsel
Attachment