*
Member fund groups with total assets less than $750 million (excluding money market
funds).
October 2, 1995
TO: SMALL FUNDS COMMITTEE No. 16-95
SMALL FUNDS MEMBERS No. 12-95
RE: SMALL FUNDS CONFERENCE - NOVEMBER 9-10 SECOND NOTICE
______________________________________________________________________________
You are cordially invited to attend the annual Small Funds* Conference which is
scheduled for November 9-10, 1995, at The Stouffer Esmeralda Resort, Indian Wells,
California.
For those of you who have been regular attendees at the Spring meeting and
annual Fall Small Funds Conference, you know the importance of these meetings in
providing current information in the areas of SEC rules, tax and pension, operations,
marketing and legislation. The meetings are very casual and open discussion is
encouraged as attendees often share problems and concerns unique to small fund groups.
Good ideas are freely exchanged at the meetings and through the year as friends stay
in touch with each other. In addition, this is a very good opportunity to meet and
discuss matters with the Institute’s senior staff. I strongly urge you to attend and,
if you like, bring one of your associates.
The conference will begin on Thursday morning, November 9 and will continue
through lunch on Friday, November 10. There will be a reception and dinner for
conference participants and their spouses/guests on the evening of November 9. Attire
for the meetings is casual.
The Conference fee for members is $85.00. In addition, there is a $35.00
luncheon/dinner fee for spouses or guests. Please complete the attached green
Conference Registration Form and return it along with the registration fee to the
Conference Administrator at the Institute. If you have already registered and
received your confirmation, no further action is necessary. As the meeting is only 6
weeks away, please make arrangements as quickly as possible.
Please make your hotel reservations directly with the Stouffer Esmeralda Resort
by calling 619/773-4444. Be sure to identify yourself as an ICI Conference attendee
in order to receive the block rate of $155.00 single\double per night. For those
wishing to extend their hotel stay, the conference rate is valid from three days prior
until three days after the official conference dates. The hotels address is:
Stouffer Esmeralda Resort
44 Indian Wells Lane
Indian Wells, California 92210-9971
619/773-4444
To assist in your travel arrangements, the Institute has arranged for discounts
from the following travel companies. To take advantage of each, please identify the
File Number or the fact that you are attending an Investment Company Institute
meeting:
American Airlines 800-433-1790 Star File # S9806
Delta Airlines 800-241-6760 File # N1497
Avis* 800-331-1600 Group # D188984
*Avis located on property, but advance reservations are required.
Taxi - Expect to pay $35 - $40 from airport to hotel.
A preliminary agenda is attached for your review. Please use the attached form
to provide us with any additional items you’d like to discuss. Also, a survey form is
attached to collect data for a Small Funds Directory. Please fill it out and return
it to ICI. We look forward to seeing you at the Stouffer Esmeralda Resort in
November.
Lynne M. Cannon Charles A. Eby
Chairman Investment Company Institute
Attachments
Enclosure
INVESTMENT COMPANY INSTITUTE
SMALL FUNDS FALL CONFERENCE
Stouffer Esmeralda Resort
Indian Wells, California
November 9-10, 1995
______________________________________________________________________________
PRELIMINARY AGENDA
A. Washington Scene
1 Fields/Markey Bill
2 Capital Markets Deregulation Bill
3 Status of Reconciliation Act
4 Social Security reform
B. SEC Regulatory Matters
1 Profile prospectus
2 Risk disclosure
C. State Matters
1 SRD
2 Wisconsin: Blue Chip
3 State pre-emption
D. Fund Directors
1 ICI director services
2 Independent directors requirement
E. Marketing/Distribution Issues
1 Effective direct mail
2 Distribution through "one-source" providers
3 401(k) alliances
4 Public relations/marketing success stories
5 Strategic alliances
6 Marketing directed towards Bank Trust departments
7 Master feeder vs. multi-classes
SMALL FUNDS FALL CONFERENCE
PRELIMINARY AGENDA (continued)
F. Operations Issues
1 Pricing services
2 Accounting packages/software
3 Blue Sky registration services
4 Transfer agency: internal/external
5 SEC audits/exams
6 Disaster recovery
7 IRA custody arrangements
8 EDGAR filings
9 Implementing multi-class share
10 Challenges unique to Small Funds
11 Status of soft $ payments for transfer agent fees, etc.
G. Internet
1 ICINet demonstration
2 Marketing on Internet
H. Miscellaneous
1 Small funds directory
2 Discussion of industry consolidation
3 Upcoming conferences
SMALL FUNDS COMMITTEE DIRECTORY
Name of Fund: ____________________________
Address: ____________________________
____________________________
____________________________
Phone Number: ____________________________
Fax Number: ____________________________
Company Description: __________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
________________________________________________________________________________
Fund Types (indicate number of funds)
Domestic Equity ___ International Equity ___ Other _____________
Fixed Income ___ Money Market ___ ______________
___
Service Providers
Auditor: _________________________ Distributor:
__________________________
_________________________ _________________________
Custodian: _______________________ Fund Accounting: _____________________
_______________________
_____________________
Blue Sky: ________________________ Transfer Agent:
_______________________
________________________
______________________
Fund Contacts
Primary: Marketing: Accounting:
Name ____________________ Name __________________ Name _________________
Phone ____________________ Phone __________________ Phone
_________________
Compliance: Operations: Transfer Agent:
Name ____________________ Name __________________ Name _________________
Phone ____________________ Phone __________________ Phone
__________________
Trading:
Name ____________________
Phone ____________________
____________________________________________________________________________________
Please return this completed form to: Jennifer Clark
ICI Information Services
1401 H Street, N.W.
Washington, D.C. 20005
fax: 202/326-5957
SMALL FUNDS CONFERENCE
Stouffer Esmeralda Resort
Indian Wells, California
November 9-10, 1995
(Please type or print)
NAME:
FIRM:
AGENDA ITEMS SHEET
SUGGESTIONS FOR AGENDA:
Please return this completed form:
Jennifer Clark
Investment Company Institute
1401 H Street, NW Suite 1200
Washington, DC 20005
202/326-5957 (fax number)
NOTE: To register for the conference, please complete and return the green Conference
Registration Form along with the applicable fees.
SMALL FUNDS CONFERENCE
CONFERENCE REGISTRATION FORM
(Hotel Room Reservations must be made directly with the Hotel.)
Stouffer Esmeralda Resort
Indian Wells, California
November 9-10, 1995
619/773-4444
PLEASE TYPE OR PRINT
NAME (Conference Registrant/Attendee)
FIRM
ADDRESS
CITY
TELEPHONE NO: FAX NO.
REGISTRATION FEE:
$85.00 for each Conference Registrant/Attendee
$35.00 for each spouse or guest
Name of Spouse or Guest:
TOTAL FEES: $ (check enclosed)
Please return this completed green registration form to:
Conference Administrator
Investment Company Institute
1401 H Street, NW Suite 1200
Washington, DC 20005
(202)326-5959 (fax number)
Note: Make room reservations directly with the Stouffer Esmeralda Resort by calling
619/773-4444 and identifying yourself as an ICI Conference attendee.