March 15, 1994
TO: COMPLIANCE COMMITTEE NO. 5-94
INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 13-94
INVESTMENT ADVISER MEMBERS NO. 12-94
SEC RULES MEMBERS NO. 13-94
STATE SECURITIES MEMBERS NO. 9-94
RE: 1994 INVESTMENT ADVISERS WORKSHOPS - REMINDER
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There is still time to register for the Investment Company Institute's one-
day Investment Advisers Workshops in New York and Chicago. As we previously
informed you, 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. The workshops will focus on a variety
of topics including recent developments in the regulation of advertising and
marketing practices, proxy voting, soft dollar arrangements, ERISA regulation,
wrap fee programs, compliance issues, state regulation and federal legislative
developments.
Dates and locations of the workshops are as follows:
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
The workshops will commence at 9:00 am and conclude at approximately 3:15
pm. Please see the attached program for further details.
Attendance for each workshop is limited to Institute members and associate
members until further notice. 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, 202/326-5968, at the
Institute.
Kathleen V. Orem
Administrative Assistant
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