Compliance Advisory Content

May 20, 1991 TO: COMPLIANCE COMMITTEE NO. 4-91 RE: FALL MEETING __________________________________________________________ In response to inquiries the Institute has received with respect to the date of the next Compliance Committee meeting, this is to advise you that the next meeting...

March 22, 1991 TO: COMPLIANCE COMMITTEE NO. 3-91 RE: SAMPLE WRITTEN SUPERVISORY PROCEDURES __________________________________________________________ As we mentioned at the last Compliance Committee meeting, we are distributing copies of sample written supervisory procedures, which...

February 22, 1991 TO: COMPLIANCE COMMITTEE NO. 2-91 RE: DRAFT AGENDA FOR MARCH 5 MEETING __________________________________________________________ As we stated in the notice of the March 5 meeting, one of the topics that will be discussed at the meeting is NASD issues. (See...

January 14, 1991 TO: COMPLIANCE COMMITTEE NO. 1-91 RE: NOTICE OF MEETING, MARCH 5, 1991 __________________________________________________________ A meeting of the Compliance Committee has been scheduled for 10:00 a.m. on Tuesday, March 5, 1991. The meeting will be held in the...

December 17, 1990 TO: CLOSED-END FUND COMMITTEE NO. 27-90 OPERATIONS COMMITTEE NO. 27-90 SEC RULES COMMITTEE NO. 65-90 ACCOUNTING/TREASURERS COMMITTEE NO. 38-90 INDEPENDENT ACCOUNTANTS ADVISORY GROUP TRANSFER AGENT ADVISORY COMMITTEE NO. 52-90 INTERNATIONAL FUNDS TASK FORCE NO. 30-90...

October 30, 1990 TO: COMPLIANCE NO. 1-90 RE: NOVEMBER 8 MEETING - DRAFT AGENDA __________________________________________________________ As we previously informed you, the next meeting of the Compliance Committee will be held on Thursday, November 8 at 10:00 a.m. in the Institute's...