Compliance Advisory Content

URGENT/ACTION REQUESTED [15257] October 10, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 87-02 INTERNATIONAL COMMITTEE No. 73-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 44-02 MONEY LAUNDERING RULES WORKING GROUP No. 57-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 82-02 TRANSFER...

[15248] October 8, 2002 TO: SEC RULES COMMITTEE No. 81-02 INVESTMENT ADVISERS COMMITTEE No. 21-02 COMPLIANCE ADVISORY COMMITTEE No. 85-02 RE: DRAFT INSTITUTE COMMENT LETTER ON PROPOSED AIMR RESEARCH OBJECTIVITY STANDARDS As we previously informed you,1 the Association for Investment...

[15249] October 8, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 86-02 RE: NOTICE OF MEETING AND VIDEOCONFERENCE - NOVEMBER 12, 2002 A meeting of the Compliance Advisory Committee has been scheduled for Tuesday, November 12th at the offices of the Investment Company Institute, 1401 H...

[15243] October 7, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 37-02 COMPLIANCE ADVISORY COMMITTEE No. 84-02 OPERATIONS MEMBERS No. 30-02 STATE SECURITIES MEMBERS No. 7-02 TRANSFER AGENT ADVISORY COMMITTEE No. 87-02 RE: ASSISTANCE OF MEMBERS REQUESTED IN CONNECTION WITH FACILITATING...

[15232] October 4, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 82-02 INVESTMENT ADVISER MEMBERS No. 42-02 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 25-02 SEC RULES MEMBERS No. 87-02 RE: SEC ADMINISTRATIVE PROCEEDING REGARDING BEST EXECUTION BY INVESTMENT ADVISER The Securities and...

URGENT/ACTION REQUESTED [15238] October 4, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 46-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 39-02 COMPLIANCE ADVISORY COMMITTEE No. 83-02 SEC RULES COMMITTEE No. 80-02 UNIT INVESTMENT TRUST COMMITTEE No. 23-02 RE: ICI DRAFT COMMENT LETTERS...

[15222] October 2, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 81-02 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 24-02 INVESTMENT ADVISER MEMBERS No. 40-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 80-02 PRIVACY ISSUES WORKING GROUP No. 6-02 SEC RULES MEMBERS No. 84-02 SMALL FUNDS MEMBERS No...

URGENT/ACTION REQUESTED [15216] September 30, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 80-02 INTERNATIONAL COMMITTEE No. 72-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 43-02 MONEY LAUNDERING RULES WORKING GROUP No. 56-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 79-02 TRANSFER...

[15203] September 26, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 41-02 BROKER/DEALER ASSOCIATE MEMBERS No. 11-02 COMPLIANCE ADVISORY COMMITTEE No. 79-02 INTERNATIONAL MEMBERS No. 26-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 42-02 MONEY LAUNDERING RULES WORKING GROUP No. 55...

[15197] September 23, 2002 TO: SEC RULES MEMBERS No. 78-02 COMPLIANCE ADVISORY COMMITTEE No. 78-02 INVESTMENT ADVISER MEMBERS No. 37-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 43-02 RE: INSTITUTE COMMENT LETTER ON PROPOSED SEC REGULATION RELATING TO ANALYST CERTIFICATION The...