Internal Audit Advisory Content

* See Memorandum to Accounting/Treasurers Committee No. 13-98, Compliance Advisory Committee No. 8-98, Independent Accountants Advisory Committee No. 3-98, Internal Audit Committee No. 2-98, Investment Advisers Committee No. 10-98, Operations Committee No. 13-98, SEC Rules Committee...

1 Year 2000 Readiness Reports to Be Made by Transfer Agents, SEC Release No. 34-39726; File No. S7-8-98 (March 5, 1998); and Reports to Be Made by Certain Brokers and Dealers, SEC Release No. 34-39724, IC-23059, IA-1704; File No. S7-7-98 (March 5, 1998) (collectively, the “proposed...

1 See Memorandum to Investment Adviser Associate Members No. 42-97, Investment Adviser Members No. 46-97, Operations Members No. 26-97, SEC Rules Members No. 80-97, and Internal Audit Ad Hoc Committee, dated October 30, 1997. 2 Revised Bulletin No. 5 also notes that if a company has...

[9498] December 16, 1997 TO: INTERNAL AUDIT COMMITTEE No. 1-97 RE: JANUARY 28, 1998 MEETING NOTICE ______________________________________________________________________________ At a meeting held at the Institute on September 16, 1997, members expressed an interest in establishing and...