September 23, 1992
TO: COMPLIANCE COMMITTEE NO. 15-92
RE: NOTICE OF MEETING, OCTOBER 29, 1992
__________________________________________________________
A meeting of the Compliance Committee has been scheduled
for 10:00 a.m. on Thursday, October 29, 1992. The meeting will
be held in the Institute’s David Silver conference room. Lunch
will be served after the meeting. One of the topics that will be
addressed is recent cases against fund portfolio managers
concerning activities resulting in personal benefit to the
portfolio managers at the expense of the funds. (Copies of press
articles describing some of these cases are attached.) We will
discuss whether steps can be taken to prevent such occurrences in
the future. If time permits, we also will discuss the FCC’s
multiple ownership rules, applicability of the Americans with
Disabilities Act to investment companies, reproposed proxy rule
amendments and any other issues raised at the meeting.
Please indicate in the space provided below whether you, or
an alternate, plan to attend the meeting and return this form to
the Institute.
Ellen Metzger
Chairperson
Please detach and return to Laura Pawlowski by October 8, 1992.
YES NO
COMPLIANCE COMMITTEE MEETING
LUNCHEON AT INVESTMENT COMPANY INSTITUTE
PLEASE PRINT NAME
COMPANY NAME