December 13, 1994
TO: COMPLIANCE COMMITTEE No. 24-94
INVESTMENT ADVISER MEMBERS No. 58-94
SEC RULES MEMBERS No. 89-94
STATE SECURITIES MEMBERS No. 51-94
RE: MARK YOUR CALENDAR - 1995 WORKSHOPS
______________________________________________________________________________
The Institute has scheduled Portfolio Compliance and Blue Sky Compliance workshops for the
spring of 1995, as follows:
Portfolio Compliance
Thursday, March 9 Boston
Wednesday, April 5 New York
Tuesday, May 23 San Francisco
Blue Sky Compliance
Friday, March 10 Boston
Tuesday, April 4 New York
Thursday, April 27 San Francisco
The Portfolio Compliance 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. Appearing on the panel will be Maria Dwyer, Vice President and
Director of Compliance of Massachusetts Financial Services; Mark Goldfus, Vice President of Merrill
Lynch Asset Management; Katharine Heidlage, Vice President and General Counsel of the New
England Funds; and Karen Kay, Vice President and Senior Attorney of Putnam Investment
Management. Frances Stadler, Associate Counsel of the Institute, will be the panel moderator.
The Blue Sky Compliance Workshops will offer practical guidance with regard to the registration
of mutual fund securities in the 50 states as well as compliance with state post-effective requirements.
This panel will be moderated by Tamara Cain, Assistant Counsel of the Institute and includes Teri
Anderholm, Compliance Officer of the Fidelity Service Company; Richard Barna, Assistant Vice
President of T. Rowe Price Associates; Steve Hartstein, Legal Products Analyst of Goldman Sachs; and
Brenda Mitchell, Blue Sky Representative of BISYS.
Attendance at the workshops will be limited to Institute members and associate members until
further notice. We will send additional details and registration forms in January. In the meantime,
MARK YOUR CALENDAR!
Susan S. Burgess
Legal Assistant