January 28, 1994
TO: COMPLIANCE COMMITTEE NO. 2-94
INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 8-94
INVESTMENT ADVISER MEMBERS NO. 8-94
SEC RULES MEMBERS NO. 4-94
STATE SECURITIES MEMBERS NO. 5-94
RE: 1994 INVESTMENT ADVISER WORKSHOPS
__________________________________________________________
The Investment Company Institute is hosting three one-day investment
adviser workshops in San Francisco, New York and Chicago. Amy Lancellotta,
Associate Counsel of the Institute, will lead a panel of members including Mary
Ann Tynan of Wellington Management and Chairperson of the Institute's Investment
Advisers Committee, Robert L. Bunnen, Jr. of Spears Benzak Salomon & Farrell,
Susan Newton of John Hancock Advisers, and Keith Rudolf of Stein Roe and Farnham.
They will discuss a variety of topics focusing on recent developments in the
regulation of advertising and marketing practices, proxy voting, soft dollar
arrangements, ERISA regulation and wrap fee programs. In addition, the panelists
will discuss compliance issues, state regulation and federal legislative
developments.
Attendance for each workshop will be limited. Registration for the San
Francisco workshop is currently open to Institute members and non-members as
space permits. Registration for Chicago and New York is open only to Institute
members and associate members until further notice.
The workshops will commence at 9:00 am and conclude at approximately 4:00
pm. Dates and locations are as follows:
Friday, March 11
Hyatt Regency San Francisco
5 Embarcadero Center
San Francisco, CA 94111
Tel: 415/788-1234
$138 Single/Double
Hotel Cut Off Date - February 18
Wednesday, April 13
Hotel Westbury New York
15 East 69th Street
(Madison Avenue & 69th Street)
New York, NY 10029
Tel: 212/535-2000
$195 Single/Double
Hotel Cut Off Date - March 23
Tuesday, May 10
The Knickerbocker Chicago Hotel
163 E. Walton Place
(Walton Place & N. Michigan Avenue)
Chicago, IL 60611
Tel: 312/751-8100
$135 Single/Double
Hotel Cut Off Date - April 19
To register, please return the attached registration form with the
appropriate fee to the Investment Company Institute. Please make your own hotel
reservations by calling the hotel directly. For further registration
information, contact Fred Moore at 202/326-5968.
Susan S. Burgess
Legal Assistant