Internal Audit Advisory Content

[12558] September 5, 2000 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 7-00 RE: NOTICE OF MEETING - NOVEMBER 14, 2000 The next meeting of the Internal Audit Advisory Committee has been scheduled for Tuesday, November, 14, 2000, at the offices of the Investment Company Institute, 1401 H...

[11956] June 16, 2000 TO: COMPLIANCE ADVISORY COMMITTEE No. 21-00 ELECTRONIC COMMERCE ADVISORY COMMITTEE No. 4-00 INTERNAL AUDIT ADVISORY COMMITTEE No. 4-00 INVESTMENT ADVISER MEMBERS No. 20-00 OPERATIONS MEMBERS No. 13-00 PRIMARY CONTACTS - MEMBER COMPLEX No. 38-00 SEC RULES MEMBERS...

[11782] April 5, 2000 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 3-00 RE: REMINDER - NOTICE OF MEETING - APRIL 19, 2000 ______________________________________________________________________________ A meeting of the Internal Audit Advisory Committee has been scheduled for Wednesday...

[11706] March 7, 2000 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 2-00 RE: NOTICE OF MEETING - APRIL 19, 2000 ______________________________________________________________________________ A meeting of the Internal Audit Advisory Committee has been scheduled for Wednesday, April 19...

1 We have been informed that the Hyatt Regency is sold out. We suggest calling the following alternate hotels that are located within two blocks of the the Hyatt: (1) Harbor Court - 415/882-1300; rate: $215 queen, $255 king: (2) Hotel Griffon - 415/495-2100; rate: $230 single/double....

[11268] September 24, 1999 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 4-99 RE: DRAFT AGENDA FOR SEPTEMBER 30TH MEETING ______________________________________________________________________________ Attached is a draft agenda for the upcoming Internal Audit Advisory Committee meeting...

[11187] August 13, 1999 TO: INTERNAL AUDIT ADVISORY COMMITTEE No. 3-99 RE: NOTICE OF MEETING - SEPTEMBER 30, 1999 ______________________________________________________________________________ A meeting of the Internal Audit Advisory Committee has been scheduled for Thursday...

1 Year 2000 Operational Capability Requirements for Registered Broker-Dealers and Transfer Agents, Rel. No. 34-41661 (July 27, 1999); 64 Fed. Reg. 42012 (August 3, 1999). The Commission had proposed a series of rules that would have imposed permanent operational capability standards...

1 Operational Capability Requirements of Registered Broker-Dealers and Transfer Agents and Year 2000 Compliance, Rel. No. 34-41142 (March 5, 1999); 64 Fed. Reg. 12127 (March 11, 1999) (the “Release”). 1 [10800] March 15, 1999 TO: ACCOUNTING/TREASURERS COMMITTEE No. 7-99 CLOSED-END...

[10479] November 13, 1998 TO: INTERNAL AUDIT COMMITTEE No. 14-98 RE: NOTICE OF MEETING - DECEMBER 15th ______________________________________________________________________________ A meeting of the Internal Audit Committee has been scheduled for Tuesday, December 15, 1998, at the...