Compliance Advisory Content

    [22283] February 28, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 2-08 COMPLIANCE ADVISORY COMMITTEE No. 2-08     RE: SPECIAL JOINT MEETING TO BE HELD DURING THE INSTITUTE’S 2008 MUTUAL FUND COMPLIANCE PROGRAMS CONFERENCE                 In conjunction with the Institute’s...

    [22235]   February 13, 2008 TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 1-08 COMPLIANCE ADVISORY COMMITTEE No. 1-08 SEC RULES COMMITTEE No. 13-08SMALL FUNDS COMMITTEE No. 5-08     RE: SEC PROPOSES RULE TO IMPLEMENT THE SUDAN ACCOUNTABILITY AND DIVESTMENT ACT OF 2007; CONFERENCE...

    [21915]   November 1, 2007 TO: COMPLIANCE ADVISORY COMMITTEE No. 21-07 INVESTMENT ADVISER MEMBERS No. 33-07 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 5-07 PENSION MEMBERS No. 64-07     RE: DOL ISSUES ADDITIONAL GUIDANCE ON LM-10 REPORTING   The Department of Labor’s Office of Labor...

  [21722]   October 3, 2007 TO: BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 37-07 BROKER/DEALER ADVISORY COMMITTEE No. 61-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 21-07 COMPLIANCE ADVISORY COMMITTEE No. 20-07 OPERATIONS COMMITTEE No. 25-07 PENSION OPERATIONS ADVISORY...

  [21609]   September 18, 2007 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 32-07 UNIT INVESTMENT TRUST COMMITTEE No. 8-07 INVESTMENT ADVISERS COMMITTEE No. 17-07 PRIVACY ISSUES WORKING GROUP No. 9-07 SMALL FUNDS COMMITTEE No. 34-07...

[21537]   August 28, 2007 TO: OPERATIONS MEMBERS No. 15-07 BROKER/DEALER ADVISORY COMMITTEE No. 52-07 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 32-07 COMPLIANCE ADVISORY COMMITTEE No. 18-07 PENSION OPERATIONS ADVISORY COMMITTEE No. 25-07 INTERNATIONAL OPERATIONS ADVISORY...

[21465]   August 10, 2007 TO: BOARD OF GOVERNORS No. 20-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 18-07 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 29-07 COMPLIANCE ADVISORY COMMITTEE No. 17-07 EQUITY MARKETS ADVISORY COMMITTEE No. 47-07 FIXED-INCOME ADVISORY COMMITTEE No. 21-07 INST...

[21440]   August 7, 2007 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 27-07 COMPLIANCE ADVISORY COMMITTEE No. 16-07 INVESTMENT ADVISERS COMMITTEE No. 15-07 SEC RULES COMMITTEE No. 62-07 RE: DRAFT NO-ACTION LETTER REGARDING ADVISER CODES OF ETHICS   Attached is a draft letter...

    [21416]   August 2, 2007 TO: CEOS CLOSED-END INVESTMENT COMPANY COMMITTEE No. 25-07 COMPLIANCE ADVISORY COMMITTEE No. 15-07 EQUITY MARKETS ADVISORY COMMITTEE No. 44-07 INTERNATIONAL COMMITTEE No. 22-07INVESTMENT ADVISERS COMMITTEE No. 14-07 PENSION COMMITTEE No. 22-07 PRIMARY...

    [21413]   August 1, 2007 TO: PRIMARY CONTACTS - MEMBER COMPLEX No. 14-07 ETF ADVISORY COMMITTEE No. 27-07 EQUITY MARKETS ADVISORY COMMITTEE No. 43-07 FIXED-INCOME ADVISORY COMMITTEE No. 19-07 CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-07 529 PLAN ADVISORY COMMITTEE No. 8-07...