October 14, 1993
TO: COMPLIANCE COMMITTEE NO. 25-93
RE: NOTICE OF MEETING, NOVEMBER 16, 1993
__________________________________________________________
A meeting of the Compliance Committee has been scheduled for 10:00 a.m. on
November 16, 1993. The meeting will be held in the Institute’s David Silver
conference room. Lunch will be served following the meeting.
We will discuss the following items at the meeting: (1) SEC action
involving a fund pricing error, (2) ICI drafting guides for codes of ethics and
to prevent insider trading, (3) recommendations for improving the SEC’s
investment company inspection program, (4) supervisory responsibilities, (5)
training programs for new employees, (6) portofolio compliance issues, and (7)
SEC comments on the need for greater internal compliance controls. Please let
me know if there are any other items that you would like us to include on the
agenda.
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 respond and fax this notice to Cindy Deuell at 202/ 659-1519 by
November 10, 1993.
YES NO
___ ___ COMPLIANCE COMMITTEE MEETING
___ ___ LUNCHEON
PLEASE PRINT NAME _____________________________________________
COMPANY _______________________________________________________