Compliance Advisory Content

[13125] March 6, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-01 COMPLIANCE ADVISORY COMMITTEE No. 11-01 INVESTMENT ADVISERS COMMITTEE No. 3-01 SEC RULES MEMBERS No. 18-01 RE: ALJ ORDERS SANCTIONS IN CONNECTION WITH MUTUAL FUND INVESTMENTS AND SOFT DOLLAR ARRANGEMENTS A Securities...

[13061] February 6, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 5-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 6-01 COMPLIANCE ADVISORY COMMITTEE No. 9-01 INTERNATIONAL COMMITTEE No. 9-01 OPERATIONS MEMBERS No. 5-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 12-01 SEC RULES MEMBERS No. 14...

[13102] January 31, 2001 TO: BROKER/DEALER ADVISORY COMMITTEE No. 3-01 COMPLIANCE ADVISORY COMMITTEE No. 8-01 SEC RULES COMMITTEE No. 12-01 TRANSFER AGENT ADVISORY COMMITTEE No. 10-01 PRIVACY COMPLIANCE PAPER WORKING GROUP RE: PRIVACY COMPLIANCE PAPER Enclosed is the final version of...

[13078] January 24, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 7-01 RE: DRAFT AGENDA FOR FEBRUARY 1ST MEETING Attached is a two-part draft agenda for the next meeting of the Compliance Advisory Committee. As previously indicated, the meeting will begin at 10:00 a.m. on Thursday...

[13073] January 22, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-01 COMPLIANCE ADVISORY COMMITTEE No. 6-01 SEC RULES COMMITTEE No. 9-01 SMALL FUNDS COMMITTEE No. 1-01 RE: FORMATION OF WORKING GROUP TO ADDRESS REQUIREMENTS IN SEC FUND GOVERNANCE RULES; MEETING ON MARCH 6...

[13065] January 19, 2001 TO: BANK AND TRUST ADVISORY COMMITTEE No. 1-01 BROKER/DEALER ASSOCIATE MEMBERS No. 1-01 COMPLIANCE ADVISORY COMMITTEE No. 5-01 INTERNATIONAL MEMBERS No. 5-01 SEC RULES MEMBERS No. 7-01 TRANSFER AGENT ADVISORY COMMITTEE No. 6-01 RE: ANTI-MONEY LAUNDERING...

[13054] January 18, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 4-01 SEC RULES COMMITTEE No. 8-01 RE: NASDR PROPOSES RULE AMENDMENT TO REQUIRE DESIGNATED CHIEF COMPLIANCE OFFICERS TO BE REGISTERED PRINCIPALS The Securities and Exchange Commission has published for comment a proposal to...

[13057] January 18, 2001 TO: SEC RULES MEMBERS No. 6-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 2-01 COMPLIANCE ADVISORY COMMITTEE No. 4-01 UNIT INVESTMENT TRUST MEMBERS No. 2-01 ACCOUNTING/TREASURERS COMMITTEE No. 3-01 RE: SEC ADOPTS NEW RULE UNDER INVESTMENT COMPANY ACT RELATING...

[13005] January 9, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 2-01 RE: NOTICE OF MEETING - THURSDAY, FEBRUARY 1, 2001 A full-day meeting of the Compliance Advisory Committee has been scheduled for Thursday, February 1, 2001, at the Institute’s offices at 1401 H Street, N.W...

[12994] January 9, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 1-01 SEC RULES COMMITTEE No. 1-01 RE: DRAFT OF INSTITUTE DRAFTING GUIDE FOR CODES OF ETHICS As you may know, the Institute in the past has prepared a Drafting Guide for Codes of Ethics in order to provide a framework under...