Compliance Advisory Content

    [22792]   August 12, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 9-08 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 26-08 COMPLIANCE ADVISORY COMMITTEE No. 12-08 EQUITY MARKETS ADVISORY COMMITTEE No. 36-08 FIXED-INCOME ADVISORY COMMITTEE No. 22-08 INTERNATIONAL COMMITTEE No. 20...

    [22774]   August 5, 2008 TO: PENSION MEMBERS No. 47-08 COMPLIANCE ADVISORY COMMITTEE No. 11-08     RE: DOL UPDATES ENFORCEMENT MANUAL REGARDING GIFTS AND ENTERTAINMENT   The Department of Labor added a new section to its enforcement manual regarding gifts and entertainment...

    [22764]   August 4, 2008 TO: SEC RULES COMMITTEE No. 56-08 INTERNATIONAL COMMITTEE No. 19-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 8-08 COMPLIANCE ADVISORY COMMITTEE No. 10-08 INST. MONEY MARKET FUNDS ADVISORY COMMITTEE No. 16-08     RE: CONFERENCE CALL FOR IOSCO QUESTIONNAIRE ON...

[22726] July 22, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 6-08 COMPLIANCE ADVISORY COMMITTEE No. 9-08 INTERNATIONAL COMMITTEE No. 18-08 SEC RULES COMMITTEE No. 54-08 RE: IOSCO SEEKS INPUT ON THE INVESTMENT PROCESS OF MUTUAL FUNDS On July 21, 2008, staff of the U.S. Securities...

    [22489]   May 5, 2008 TO: COMPLIANCE ADVISORY COMMITTEE No. 8-08 INVESTMENT ADVISERS COMMITTEE No. 9-08 SEC RULES COMMITTEE No. 34-08 SMALL FUNDS COMMITTEE No. 16-08     RE: ICI DRAFT COMMENT LETTER ON THE SEC’S PROPOSED AMENDMENTS TO PART 2 OF FORM ADV   As we previously informed...

    [22407]   April 9, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-08 COMPLIANCE ADVISORY COMMITTEE No. 7-08 INVESTMENT ADVISERS COMMITTEE No. 7-08 OPERATIONS COMMITTEE No. 8-08 PRIVACY ISSUES WORKING GROUP No. 2-08 SEC RULES COMMITTEE No. 28-08 SMALL FUNDS COMMITTEE No...

[22342] March 14, 2008 TO: COMPLIANCE ADVISORY COMMITTEE No. 6-08INVESTMENT ADVISERS COMMITTEE No. 4-08SEC RULES COMMITTEE No. 22-08SMALL FUNDS COMMITTEE No. 9-08 RE: SEC PROPOSES AMENDMENTS TO PART 2 OF FORM ADV; CONFERENCE CALL SCHEDULED FOR MARCH 28, 2008 The Securities and...

    [22318]   March 10, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 5-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-08 COMPLIANCE ADVISORY COMMITTEE No. 5-08 SEC RULES COMMITTEE No. 19-08 SMALL FUNDS COMMITTEE No. 8-08 UNIT INVESTMENT TRUST COMMITTEE No. 5-08     RE: INSTITUTE COMMENT...

    [22305]   March 7, 2008 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 4-08 COMPLIANCE ADVISORY COMMITTEE No. 4-08 INVESTMENT ADVISERS COMMITTEE No. 3-08 OPERATIONS COMMITTEE No. 5-08 PRIVACY ISSUES WORKING GROUP No. 1-08 SEC RULES COMMITTEE No. 18-08 SMALL FUNDS COMMITTEE No. 7...

    [22286]   February 29, 2008 TO: ACCOUNTING/TREASURERS COMMITTEE No. 4-08 CHIEF COMPLIANCE OFFICER COMMITTEE No. 3-08 COMPLIANCE ADVISORY COMMITTEE No. 3-08 SEC RULES COMMITTEE No. 16-08 SMALL FUNDS COMMITTEE No. 6-08 UNIT INVESTMENT TRUST COMMITTEE No. 3-08     RE: INSTITUTE DRAFT...