January 31, 1997
TO: COMPLIANCE ADVISORY COMMITTEE No. 2-97
RE: NOTICE OF MEETING ON FEBRUARY 26TH
______________________________________________________________________________
The next meeting of the Compliance Advisory Committee (also known as the
Compliance Committee) will be held on Wednesday, February 26th at 10:00 a.m. in the David
Silver Conference Room on the 12th floor at the Institute. Lunch will be served following the
meeting. Please indicate in the space provided below whether you plan to attend the meeting.
Items we plan to discuss at the meeting include: (1) soft dollar "sweeps" and related
issues; (2) treatment of foreign advisory personnel under codes of ethics; (3) subadviser codes
of ethics; (4) monitoring the liquidity of presumptively illiquid securities deemed liquid; (5)
segregation/cover procedures; (6) update on money laundering issues; and (7) development
and maintenance of compliance systems.
Please let me know if there are other issues you would like to discuss at the meeting.
My telephone number is (202) 326-5822 and my e-mail address is frances@ici.com.
Frances M. Stadler
Associate Counsel
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Please detach and return to Melissa Magruder (202/326-5827, fax) at the Investment Company
Institute, by February 20, 1997.
Yes No
____ ____ Attending Meeting
____ ____ Attending Luncheon
___________________________________________ Print Name of Attendee
___________________________________________ Print Company Name