Compliance Advisory Content

[16771] November 17, 2003 TO: BOARD OF GOVERNORS No. 61-03 COMPLIANCE ADVISORY COMMITTEE No. 97-03 INVESTMENT COMPANY DIRECTORS No. 17-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 99-03 SEC RULES MEMBERS No. 156-03 SMALL FUNDS MEMBERS No. 66-03 RE: STRUCTURAL REFORMS TO PARTIALLY SETTLE...

URGENT/ACTION REQUESTED [16764] November 11, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 95-03 INTERNATIONAL COMMITTEE No. 77-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 48-03 MONEY LAUNDERING RULES WORKING GROUP No. 61-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 98-03 TRANSFER...

[16766] November 11, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 96-03 INVESTMENT ADVISER MEMBERS No. 40-03 SEC RULES MEMBERS No. 154-03 SMALL FUNDS MEMBERS No. 65-03 RE: SEC AND MASSACHUSETTS FILE ENFORCEMENT ACTIONS AGAINST FORMER BROKERS FOR MARKET TIMING OF MUTUAL FUNDS The...

[16725] November 6, 2003 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 87-03 COMPLIANCE ADVISORY COMMITTEE No. 94-03 SEC RULES MEMBERS No. 151-03 SMALL FUNDS MEMBERS No. 62-03 RE: SEC STAFF GUIDANCE ON PROXY VOTING REQUIREMENTS Since the adoption of the fund proxy voting rules, a...

[16722] October 31, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 91-03 INTERNATIONAL COMMITTEE No. 75-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 45-03 MONEY LAUNDERING RULES WORKING GROUP No. 60-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 93-03 TRANSFER AGENT ADVISORY COMMITTEE No...

[16723] October 31, 2003 TO: SEC RULES COMMITTEE No. 88-03 PENSION COMMITTEE No. 42-03 OPERATIONS COMMITTEE No. 23-03 ACCOUNTING/TREASURERS COMMITTEE No. 34-03 COMPLIANCE ADVISORY COMMITTEE No. 93-03 RE: INSTITUTE RECOMMENDATIONS REGARDING LATE TRADING AND MARKET TIMING The Institute...

[16709] October 31, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 92-03 INVESTMENT ADVISER MEMBERS No. 38-03 SEC RULES MEMBERS No. 147-03 SMALL FUNDS MEMBERS No. 60-03 RE: SEC AND MASSACHUSETTS FILE ENFORCEMENT ACTIONS AGAINST FUND ADVISER AND TWO FORMER PORTFOLIO MANAGERS The Securities...

[16701] October 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 90-03 RE: COMPLIANCE ADVISORY COMMITTEE MEETING NOVEMBER 11TH – DRAFT AGENDA As we previously informed you,1 the next meeting of the Compliance Advisory Committee is scheduled for Tuesday, November 11, 2003. The meeting...

[16697] October 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 89-03 INTERNATIONAL COMMITTEE No. 74-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 44-03 MONEY LAUNDERING RULES WORKING GROUP No. 59-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 90-03 TRANSFER AGENT ADVISORY COMMITTEE No...

[16682] October 17, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 88-03 INTERNATIONAL MEMBERS No. 37-03 SEC RULES MEMBERS No. 142-03 RE: SEC AND NEW YORK ENFORCEMENT ACTIONS AGAINST MUTUAL FUND EXECUTIVE IN CONNECTION WITH MARKET TIMING AND LATE TRADING ACTIVITIES The Securities and...