January 24, 1995
TO: ACCOUNTING/TREASURERS MEMBERS No. 5-95
COMPLIANCE COMMITTEE No. 4-95
MEMBERS - ONE PER COMPLEX No. 8-95
OPERATIONS MEMBERS No. 4-95
SEC RULES MEMBERS No. 3-95
TAX MEMBERS No. 7-95
RE: 1995 PORTFOLIO COMPLIANCE WORKSHOPS
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The Institute will be holding a series of portfolio compliance workshops over the next
few months in Boston, New York and San Francisco. The program will cover various aspects of
mutual fund portfolio compliance. It will provide an overview of applicable requirements
under the Investment Company Act, the Internal Revenue Code, other federal laws and
selected state statutes and more detailed discussions of such areas as mutual fund pricing and
liquidity, soft dollars, affiliated transactions, investments in derivatives and money market
fund issues. In addition, the panel will discuss the development of compliance guidelines and
procedures. The program will conclude with a dramatization of the handling of a mutual fund
portfolio compliance problem.
Panelists will be Michael Downer, Capital Research & Management; Maria Dwyer,
Massachusetts Financial Services; Mark Goldfus, Merrill Lynch Asset Management; and Karen
Kay, Putnam Investment Management.
The program is designed for fund employees involved in portfolio compliance,
including attorneys, accountants, compliance officers and portfolio managers.
Listed below are the dates and locations for the workshops.
Boston
Thursday, March 9 The Colonnade Boston
120 Huntington Avenue
Boston, MA 02116
617/424-7000
Room Rate $155 single/double
Hotel Cut-Off Date: February 13
New York
Wednesday, April 5 The Drake Swissotel (New York)
440 Park Avenue
New York, NY 10022
212/421-0900
Room Rate $180 single/double
Hotel Cut-Off Date: March 14
San Francisco
Tuesday, May 23 Hotel Nikko San Francisco
222 Mason Street
San Francisco, CA 94102
415/394-1111
Room Rate $145 single/double
Hotel Cut-Off Date: May 1
Registration will be limited to 100 attendees, so it is important to register as early as
possible. Only employees of Institute members may attend. To register, simply complete the
form provided and return it, along with a check for $200 for the first registrant and $125 for
each additional registrant within the same firm, to the Institute.
Please make your own hotel reservations. A block of rooms has been reserved in each
hotel under the name of the Investment Company Institute, so mention our name when you
call. The address, telephone number, and registration cut-off date for each hotel is listed above.
For additional information, please call the Institute’s Conference Division at
202/326-5968.
Frances M. Stadler
Associate Counsel
Attachment