March 17, 1997
TO: ACCOUNTING/TREASURERS MEMBERS No. 12-97
COMPLIANCE ADVISORY COMMITTEE No. 10-97
OPERATIONS MEMBERS No. 8-97
PRIMARY CONTACTS - MEMBER COMPLEX (MEMBERS - ONE PER COMPLEX)
No. 20-97
SEC RULES MEMBERS No. 23-97
TAX MEMBERS No. 11-97
RE: 1997 PORTFOLIO COMPLIANCE WORKSHOPS
______________________________________________________________________________
The Institute will be holding a series of portfolio compliance workshops over the next
few months in Kansas City, San Francisco, New York and Boston. As indicated in the attached
preliminary program, the workshop 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 and other federal laws, followed by more detailed
discussions of prospectus compliance issues, mutual fund pricing and liquidity, soft dollars and
affiliated transactions. 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 Christine Carsman, Wellington Management Company; Michael
Downer, Capital Research and Management Group; Mark Goldfus, Merrill Lynch Asset
Management; and Maryanne Roepke, American Century Investments.
The program is designed for fund employees involved in portfolio compliance,
including attorneys, accountants, compliance officers and portfolio managers.
Registration for the workshop will begin at 8:30 a.m. and the program will conclude at
4:00 p.m. Listed below are the dates and locations for the workshops.
Kansas City, MO
Thursday, April 24
The Ritz-Carlton Kansas City
401 Ward Parkway
Kansas City, MO 64112
Phone: (816) 756-1500
2Fax: (816) 531-1483
Room Rates: $155.00 single/double
Cut-off Date: March 31, 1997
San Francisco, CA
Thursday, May 29
Hotel Nikko San Francisco
222 Mason Street
San Francisco, CA 94102
Phone: (415) 394-1111
Fax: (415) 421-0455
Room Rates: $150.00 single/double
Cut-off Date: May 5, 1997
New York, NY
Tuesday, June 17
New York Marriott Marquis
1535 Broadway
New York, NY 10036
Phone: (212) 398-1900
Fax: (212) 704-8969
Room Rates: $250.00 single/$265.00 double
Cut-off Date: May 24, 1997
Boston, MA
Thursday, June 26
Sheraton Boston Hotel & Towers
39 Dalton Street, Prudential Center
Boston, MA 02199
Phone: (617) 236-2000
Fax: (617) 236-1702
Room Rates: $145.00 single/double
Cut-off Date: June 3, 1997
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 each registrant, 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 Institutes Conference Division at 202/326-
5968.
Frances Stadler
Associate Counsel
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