Internal Audit Advisory Content

[16707] October 28, 2003 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 9-03 RE: INTERNAL AUDIT ADVISORY COMMITTEE MEETING NOVEMBER 19TH – DRAFT AGENDA As we previously informed you,1 the next meeting of the Internal Audit Advisory Committee is scheduled for Wednesday, November 19th. The...

[16614] October 6, 2003 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 8-03 RE: NOTICE OF INTERNAL AUDIT ADVISORY COMMITTEE MEETING - NOVEMBER 19, 2003 The next meeting of the Internal Audit Advisory Committee has been scheduled for Wednesday, November 19, 2003, at the offices of the...

[16428] August 12, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 44-03 BROKER/DEALER ADVISORY COMMITTEE No. 25-03 BROKER/DEALER ASSOCIATE MEMBERS No. 4-03 COMPLIANCE ADVISORY COMMITTEE No. 60-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-03 MONEY LAUNDERING RULES WORKING GROUP No. 49-03...

[16295] July 14, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 40-03 BROKER/DEALER ADVISORY COMMITTEE No. 22-03 COMPLIANCE ADVISORY COMMITTEE No. 54-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-03 INTERNATIONAL COMMITTEE No. 43-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 30-03...

[16240] June 26, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 37-03 BROKER/DEALER ADVISORY COMMITTEE No. 20-03 COMPLIANCE ADVISORY COMMITTEE No. 50-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-03 INTERNATIONAL COMMITTEE No. 40-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 28-03...

[16204] June 13, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 29-03 CLOSED-END INVESTMENT COMPANY MEMBERS No. 51-03 COMPLIANCE ADVISORY COMMITTEE No. 46-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 4-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 47-03 SEC RULES MEMBERS No. 74-03 SMALL FUNDS...

[16167] June 6, 2003 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 3-03 RE: MODEL DOCUMENT REQUEST LIST FOR SEC EXAMINATIONS The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has implemented a new approach to inspections that focuses on...

[16032] May 9, 2003 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 2-03 RE: DRAFT AGENDA FOR COMMITTEE MEETING ON MAY 28TH As we previously informed you,1 the next meeting of the Internal Audit Advisory Committee is scheduled for Wednesday, May 28th. The meeting will take place at the...

[15824] March 28, 2003 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 1-03 RE: MEETING NOTICE - MAY 28, 2003 The next meeting of the Internal Audit Advisory Committee will be held on Wednesday, May 28, 2003 at the Investment Company Institute, at 1401 H Street, NW, Washington, D.C. The...

[15365] November 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-02 BROKER/DEALER ASSOCIATE MEMBERS No. 13-02 COMPLIANCE ADVISORY COMMITTEE No. 102-02 CONTINUING EDUCATION AND TRAINING MEMBERS No. 13-02 HUMAN RESOURCES MEMBERS No. 12-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-02...