Compliance Advisory Content

[26312] July 18, 2012 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 23-12 COMPLIANCE ADVISORY COMMITTEE No. 2-12 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 34-12 ETF ADVISORY COMMITTEE No. 25-12 FIXED-INCOME ADVISORY COMMITTEE No. 17-12 INVESTMENT ADVISERS COMMITTEE No. 1-12 SEC...

  [26011] April 2, 2012 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-12 COMPLIANCE ADVISORY COMMITTEE No. 1-12 RE: JIM DAVIS (1952-2012)   It is with great sadness that I am writing to inform you of the untimely death of James M. Davis, the Director of Global Compliance for Franklin...

  [25965] March 7, 2012 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-12 COMPLIANCE ADVISORY COMMITTEE No. 1-12 RE: SPECIAL CCO/COMPLIANCE JOINT MEETING TO BE HELD MAY 9TH DURING THE ICI COMPLIANCE PROGRAMS CONFERENCE; RSVPS DUE BY MAY 1ST   A joint meeting of the ICI’s CCO and...

[25577] October 24, 2011 TO: ACCOUNTING/TREASURERS COMMITTEE No. 16-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 48-11 CHIEF COMPLIANCE OFFICER COMMITTEE No. 15-11 COMPLIANCE ADVISORY COMMITTEE No. 5-11 DERIVATIVES MARKETS ADVISORY COMMITTEE No. 41-11 ETF (EXCHANGE-TRADED FUNDS)...

  [25256] June 7, 2011 TO: BDAC COST BASIS REPORTING TASK FORCE No. 13-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-11 BROKER/DEALER ADVISORY COMMITTEE No. 33-11 COMPLIANCE ADVISORY COMMITTEE No. 4-11 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-11 OPERATIONS COMMITTEE No. 20...

  [24976] February 18, 2011 TO: 529 PLAN ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 13-11 BROKER/DEALER ADVISORY COMMITTEE No. 11-11 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-11 COMPLIANCE ADVISORY COMMITTEE No. 3-11 FIXED-INCOME ADVISORY...

[24863] January 11, 2011 TO: TAX COMMITTEE No. 3-11 SMALL FUNDS COMMITTEE No. 3-11 OPERATIONS COMMITTEE No. 2-11 COMPLIANCE ADVISORY COMMITTEE No. 2-11 BROKER/DEALER ADVISORY COMMITTEE No. 2-11 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 2-11 TRANSFER AGENT ADVISORY COMMITTEE...

  [24842] January 7, 2011 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-11 COMPLIANCE ADVISORY COMMITTEE No. 1-11 RE: JOINT CCO/COMPLIANCE COMMITTEE MEETING TO BE HELD MAY 4TH IN ADVANCE OF THE ICI’S 2011 COMPLIANCE PROGRAMS CONFERENCE   A joint meeting of the ICI’s CCO and Compliance...

[24420]   July 15, 2010 TO: BROKER/DEALER ADVISORY COMMITTEE No. 27-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 20-10 CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-10 COMPLIANCE ADVISORY COMMITTEE No. 7-10 OPERATIONS COMMITTEE No. 17-10 RE: COMPLIANCE REVIEW FOR FUND...

    [24219]   April 7, 2010   TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 5-10 COMPLIANCE ADVISORY COMMITTEE No. 6-10     RE: SPECIAL CCO/COMPLIANCE JOINT MEETING TO BE HELD DURING THE INSTITUTE'S 2010 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE   In conjunction with the Institute’s...