December 31, 1991
TO: MEMBERS - ONE PER COMPLEX NO. 67-91
OPERATIONS MEMBERS NO. 37-91
SEC RULES MEMBERS NO. 61-91
TAX MEMBERS NO. 66-91
ACCOUNTING/TREASURERS COMMITTEE NO. 28-91
RE: PORTFOLIO COMPLIANCE WORKSHOPS - SECOND NOTICE
__________________________________________________________
As we previously informed you, the Institute is holding a
series of Portfolio Compliance Workshops in early 1992. The
workshops will cover all aspects of portfolio compliance,
including practical guidance on how to implement and maintain an
effective compliance system, as well as 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 program from when it was first
held, in 1989, including valuation of portfolio securities,
requirements for money market funds, SEC inspections and
enforcement, and a fund's rights as shareholder and creditor.
Panelists will be Katharine Heidlage, New England
Securities; Karen Kay, Putnam Management Company; Thomas London,
MFS Financial Services; Mark Goldfus, Merrill Lynch Asset
Management (San Francisco and New York); and Jerry Weiss, Merrill
Lynch Asset Management (Boston). The workshops are scheduled to
run from 9:00 a.m. to 4:10 p.m. with ample time for questions
from attendees throughout. A preliminary agenda is attached.
Attendance at each of the workshops is limited to 100 and
the workshops will not offered again until 1995. Last time the
workshops were held two of them filled up early, and responses to
the first notice for the 1992 program have been heavy.
Therefore, if you are interested in attending, please register as
soon 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 company, to the Institute. A registration form is attached.
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
Please note that the New York and Boston workshops are open
only to Institute members. The San Francisco workshop is open to
both Institute members and outside law and accounting firms with
ICI member connections.
Please make your own hotel reservations if you need a hotel
room. 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 for each hotel
is listed above.
For additional information, please call Geoffrey Burke at
202/955-3508.
Craig S. Tyle
Deputy General Counsel
Attachments