[15764]
March 18, 2003
TO: TRANSFER AGENT ADVISORY COMMITTEE No. 31-03
RE: MEETING NOTICE-APRIL 22-23, 2003
The next meeting of the Transfer Agent Advisory Committee will be held on Tuesday,
April 22nd from 2:00 to 5:00 p.m. ET and Wednesday, April 23rd from 9:00 a.m. to 2:00 p.m. ET in
the David Silver Conference Room (12th floor) of the Investment Company Institute, 1401 H
Street, NW, Washington, D.C.
Hotel Accommodations
A block of rooms at the J. W. Marriott, Washington, D.C., located at 1331 Pennsylvania
Ave., NW, Washington, D.C., has been reserved for the evening of April 22nd at a rate of $179
standard single-double. To make reservations, please call the hotel at (202) 393-2000 or (800)
228-9290 and request a room in the “Investment Company Institute-Transfer Agent Advisory
Committee” block. PLEASE MAKE YOUR HOTEL RESERVATIONS AS SOON AS POSSIBLE
AS ROOMS ARE LIMITED. All reservations must be guaranteed by either a valid credit card or
one night’s deposit by March 26, 2003 to receive the room block rate. Reservations must be
cancelled by 6:00 p.m. the day of arrival to avoid penalty.
Joint AML Session for TAAC & Money Laundering Rules Working Group
As with previous meetings, the TAAC and ICI Money Laundering Rules Working
Group will hold a joint afternoon session on Tuesday, April 22nd from 2:00 to 5:00 p.m. to
discuss various anti-money laundering issues. This session will include an update on the status
of the various anti-money laundering regulations, including the customer identification
program rule (if adopted prior to April 22nd), a substantial discussion on suspicious activity
reporting, and shop talk on money laundering issues.
The SAR discussion will include an update on the Institute’s comment letter on the rule
proposal, as well as a presentation and question and answer session with Peter G. Djinis,
founder of the firm, Law Offices of Peter Djinis, which specializes in civil and regulatory matters
involving federal anti-money laundering and Bank Secrecy Act laws. Previously, Mr. Djinis
served as Executive Assistant Director for Regulatory Policy for the U.S. Department of the
Treasury’s Financial Crimes Enforcement Network (FinCEN), for which he was responsible for
2
establishing regulatory policy and overseeing all aspects of Bank Secrecy Act (BSA) compliance
by U.S. bank and non-bank financial institutions.
Committee Dinner
The Committee dinner will be held on Tuesday, April 22, 2003. A reception will begin at
6:30 p.m. and dinner will follow at 7:00 p.m. Further details on the dinner location will be
forthcoming. All participants will be billed for their portion of the dinner. Attire for the dinner
is business casual.
Agenda Items/Committee Projects
We need to get your input on agenda items for the meeting and “shop talk” discussion
items for the AML session and meeting. Please use the attached form to list your ideas and
suggestions or e-mail Kathy Joaquin (kjoaquin@ici.org) or Cynthia Jones (cjones@lib.com). Our
experience indicates that if topics are circulated in advance, the value of the discussion is
considerably enhanced.
Fax Response Form by April 4, 2003
Please assist us in determining who will be attending the meeting by faxing the attached
form, no later than April 4, 2003, to Meghan Graves at the Investment Company Institute. The
fax number is (202) 326-5853 and you can reach Meghan at (202) 326-5852 or at mgraves@ici.org.
It is important that all committee members complete and fax back the form regardless of
whether or not you are attending the meeting. Please note if you are also a member of the
Money Laundering Rules Working Group, you do not need to reply to the separate notice sent
to the Working Group regarding the April 22nd joint meeting. Your cooperation is greatly
appreciated.
Cynthia Jones Kathleen C. Joaquin
Liberty Funds Services, Inc. Director – Transfer Agency
Chair & International Operations
Transfer Agent Advisory Committee
Attachment (in .pdf format)