Compliance Advisory Content

September 23, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 43-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 35-92 COMPLIANCE COMMITTEE NO. 14-92 RE: SEC SANCTIONS PORTFOLIO MANAGER FOR AGENCY CROSS-TRANSACTIONS __________________________________________________________ The Securities and...

September 23, 1992 TO: COMPLIANCE COMMITTEE NO. 15-92 RE: NOTICE OF MEETING, OCTOBER 29, 1992 __________________________________________________________ A meeting of the Compliance Committee has been scheduled for 10:00 a.m. on Thursday, October 29, 1992. The meeting will be held in...

August 13, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 38-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 30-92 COMPLIANCE COMMITTEE NO. 10-92 RE: SEC CENSURES ADVISER AND BARS ASSOCIATED PERSON FOR VIOLATIONS OF ANTIFRAUD PROVISIONS __________________________________________________________...

August 13, 1992 TO: INVESTMENT ADVISER MEMBERS NO. 40-92 INVESTMENT ADVISER ASSOCIATE MEMBERS NO. 32-92 COMPLIANCE COMMITTEE NO. 11-92 RE: SEC CENSURES INVESTMENT ADVISER AND ITS PRESIDENT WITH RESPECT TO TRADING ERROR __________________________________________________________ The...

July 21, 1992 TO: SEC RULES MEMBERS NO. 31-92 UNIT INVESTMENT TRUST MEMBERS NO. 43-92 COMPLIANCE COMMITTEE NO. 9-92 RE: SEC ADOPTS TEMPORARY BROKER-DEALER RISK ASSESSMENT RULES __________________________________________________________ The Securities and Exchange Commission has...

June 30, 1992 TO: COMPLIANCE COMMITTEE NO. 8-92 RE: NASD SUGGESTS ITEMS FOR INCLUSION IN WRITTEN SUPERVISORY PROCEDURES __________________________________________________________ In the June NASD Regulatory & Compliance Alert, the NASD included a list of items that members should...

June 29, 1992 TO: SEC RULES MEMBERS NO. 29-92 INVESTMENT ADVISER MEMBERS NO. 34-92 COMPLIANCE COMMITTEE NO. 7-92 RE: SEC CENSURES ADVISER TO INVESTMENT COMPANIES FOR VIOLATIONS CONCERNING THE REPORTING OF PERSONAL SECURITIES TRANSACTIONS _______________________________________________...

June 22, 1992 TO: SEC RULES MEMBERS NO. 26-92 COMPLIANCE COMMITTEE NO. 6-92 RE: FORMER ASSISTANT PORTFOLIO MANAGER SETTLES CHARGES IN CONNECTION WITH ALLEGED FRAUDULENT KICKBACK SCHEME __________________________________________________________ The Securities and Exchange Commission...

June 17, 1992 TO: SEC RULES MEMBERS NO. 25-92 COMPLIANCE COMMITTEE NO. 5-92 RE: PORTFOLIO MANAGER’S FAILURE TO REPORT PERSONAL SECURITIES TRANSACTIONS ADEQUATELY SUPPORTS CRIMINAL CHARGE __________________________________________________________ In a case against a mutual fund...

May 6, 1992 TO: COMPLIANCE COMMITTEE NO. 4-92 RE: DRAFT AGENDA FOR MAY 13 MEETING __________________________________________________________ Attached is a draft agenda for the Compliance Committee meeting scheduled for May 13, 1992. The meeting will be held in the Institute's David...