ACTION REQUESTED
[14567]
March 22, 2002
TO: MONEY LAUNDERING RULES WORKING GROUP No. 15-02
RE: NOTICE OF MEETING/CONFERENCE CALL ON TUESDAY, APRIL 16, 2002
As you know, a number of rules have recently been proposed that would implement
various anti-money laundering provisions in the USA PATRIOT Act. Given these rule
proposals and the fast-approaching deadline of April 24th for the implementation of anti-money
laundering compliance programs, we have scheduled a joint meeting/conference call for the
Money Laundering Rules Working Group and the Transfer Agent Advisory Committee on
Tuesday, April 16th from 3:00 to 5:00 p.m. (Eastern time). The meeting will be held in the David
Silver Conference Room on the 12th floor of the Institute’s offices in Washington, D.C. Although
participation in person is encouraged, members of the working group and the TAAC may
participate in the meeting by telephone.
This meeting is intended to provide an update on the status of the various rules and rule
proposals and an opportunity to discuss issues arising in adopting and implementing AML
compliance programs. David Fielder, Adviser to the Director of the Securities and Exchange
Commission’s Division of Investment Management, will attend part of the meeting and will be
available to respond to members’ questions on the various anti-money laundering rules and
rule proposals.
Please use the attached form to indicate whether you will participate in this meeting,
either by telephone or in person. If you will be participating by phone, please note that in order
to do so, you will need to be either a member of the working group, a member of the TAAC, or
a person designated as an alternate on the response form.
Also, to assist in preparations for this meeting, we have provided space on the response
form to indicate any specific compliance or interpretive questions or issues you would like to
discuss at the meeting. We intend to compile the questions and issues raised on the response
forms and circulate them to the participants in advance of the meeting.
We look forward to seeing or speaking to you on April 16th.
Robert C. Grohowski
Associate Counsel
Attachment (in .pdf format)