[15844]
April 3, 2003
TO: TRANSFER AGENT ADVISORY COMMITTEE No. 37-03
RE: PRELIMINARY AGENDA
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 (DSCR) on the 12th floor of the Investment Company Institute, 1401 H Street, NW,
Washington, D.C. A preliminary agenda for the April 22nd and 23rd meeting, including “shop talk”
topics, is attached for your review.
On the afternoon of April 22nd we have scheduled a joint meeting of the TAAC and the ICI’s
Money Laundering Rules Working Group. 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), 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, who
specialized in civil and regulatory matters involving federal anti-money laundering and Bank Secrecy
Act (BSA) 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 establishing regulatory policy and overseeing all aspects of BSA compliance by U.S.
bank and non-bank financial institutions.
If you have not already done so, please forward any specific compliance or interpretive questions
or issues you would like to discuss at the AML session to Amanda Busick via email at abusick@ici.org.
The AML shop talk discussion topics will be complied and emailed to attendees prior to the meeting.
The TAAC Committee dinner will be held on Tuesday, April 22, 2003 at Kinkead’s located at 2000
Pennsylvania Ave., NW (202-296-7700). 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 (in .pdf format)