[14834]
June 26, 2002
TO: TRANSFER AGENT ADVISORY COMMITTEE No. 46-02
RE: PRELIMINARY AGENDA FOR JULY 17-18, 2002 MEETING
The next meeting of the Transfer Agent Advisory Committee will be held on
Wednesday, July 17th from 3:00 to 5:00 p.m. ET and Thursday, July 18th from 9:00 a.m. to 2:00
p.m. ET in the David Silver Conference Room (DSCR) on the 12th floor of the Investment
Company Institute, 1401 H Street, NW, Washington, D.C.
A preliminary agenda for the July 17th and 18th meeting, including “shop talk” topics, is
enclosed for your review. Please note that at our April meeting we asked members to bring feedback to
the July meeting regarding their group’s treatment of Regulation E – POP (Point of Purchase) and ARC
(Accounts Receivable Truncated Check Debit Entries) transactions that may be received by funds with
check writing privileges.
On the afternoon of July 17th we have scheduled a joint meeting/conference call of the
TAAC and the ICI’s Money Laundering Rules Working Group. At this session we plan to
discuss issues arising in adopting and implementing the various anti-money laundering
provisions of the USA PATRIOT Act, including anti-money laundering compliance programs,
suspicious activity and cash transaction reporting (SAR and CTR), correspondent accounts, and
customer identification and verification procedures. 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.
If you are not attending the July 17th TAAC meeting and would like to participate in the
AML session by phone, please note that in order to do so, you must confirm your participation
with Amanda Busick at the ICI at 202-326-5836 by July 16th. Also, to assist in preparations for
this meeting, please use the attached AML Session 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 identified on the forms and circulate them to the participants in
advance of the meeting.
2
The TAAC Committee dinner will be held on Wednesday, July 17, 2002 at the Occidental
Grill located at 1475 Pennsylvania Ave., NW. A reception will begin at 6:30 p.m. and dinner
will follow at 7:00 p.m. All participants will be billed for their portion of the dinner. Attire for
the dinner is business casual.
We look forward to seeing you in Washington.
Cynthia Jones Kathleen C. Joaquin
Liberty Funds Services, Inc. Director - Transfer Agency
Chair & International Operations
Transfer Agent Advisory Committee
Attachment
Attachment (in .pdf format)