Internal Audit Advisory Content

[17571] May 24, 2004 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 9-04 RE: SEC DOCUMENT REQUEST LISTS FOR EXAM COVERING MUTUAL FUND AND ITS ADVISER, TRANSFER AGENT, AND DISTRIBUTION ARRANGEMENTS A mutual fund complex has shared with the Institute the document request lists it recently...

1 See ICI Memorandum to Internal Audit Advisory Committee No. 4-04 (#17387), dated April 14, 2004. [17542] May 17, 2004 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 8-04 RE: INTERNAL AUDIT ADVISORY COMMITTEE MEETING MAY 25TH - DRAFT AGENDA As we previously informed you,1 the next meeting...

[17511] May 12, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 22-04 COMPLIANCE ADVISORY COMMITTEE No. 49-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-04 SEC RULES MEMBERS No. 68-04 RE: DOL ADMINISTRATIVE CASE INTERPRETS SARBANES-OXLEY WHISTLEBLOWER PROTECTION PROVISIONS A recent ruling by...

[17489] May 11, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 30-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-04 OPERATIONS MEMBERS No. 23-04 SEC RULES MEMBERS No. 66-04 SMALL FUNDS MEMBERS No. 51-04 TECHNOLOGY ADVISORY COMMITTEE No. 12-04...

[17455] May 3, 2004 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 29-04 COMPLIANCE ADVISORY COMMITTEE No. 46-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-04 OPERATIONS MEMBERS No. 21-04 SEC RULES MEMBERS No. 64-04 SMALL FUNDS MEMBERS No. 48-04 TECHNOLOGY ADVISORY COMMITTEE No. 11-04...

[17387] April 14, 2004 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 4-04 RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING - MAY 25, 2004 The next meeting of the Internal Audit Advisory Committee has been scheduled for Tuesday, May 25, 2004, at the offices of the Investment Company...

[17177] March 4, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 13-04 BOARD OF GOVERNORS No. 18-04 CLOSED-END INVESTMENT COMPANY MEMBERS No. 13-04 COMPLIANCE ADVISORY COMMITTEE No. 32-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 3-04 SEC RULES MEMBERS No. 35-04 SMALL FUNDS MEMBERS No. 28-04...

[17143] February 26, 2004 TO: ACCOUNTING/TREASURERS MEMBERS No. 10-04 INVESTMENT ADVISER MEMBERS No. 4-04 COMPLIANCE ADVISORY COMMITTEE No. 26-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 2-04 OPERATIONS MEMBERS No. 14-04 SEC RULES MEMBERS No. 31-04 RE: SEC EXTENDS COMPLIANCE DATES FOR...

[16951] January 9, 2004 TO: BROKER/DEALER ADVISORY COMMITTEE No. 1-04 BROKER/DEALER ASSOCIATE MEMBERS No. 2-04 COMPLIANCE ADVISORY COMMITTEE No. 3-04 INTERNAL AUDIT ADVISORY COMMITTEE No. 1-04 MONEY LAUNDERING RULES WORKING GROUP No. 1-04 OPERATIONS MEMBERS No. 2-04 PENSION COMMITTEE...

[16881] December 15, 2003 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 110-03 COMPLIANCE ADVISORY COMMITTEE No. 109-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-03 INVESTMENT COMPANY DIRECTORS No. 25-03 SEC RULES MEMBERS No. 186-03 TRANSFER AGENT ADVISORY COMMITTEE No. 113-03 UNIT...