ACTION REQUESTED
[16058]
May 14, 2003
TO: MONEY LAUNDERING RULES WORKING GROUP No. 33-03
TRANSFER AGENT ADVISORY COMMITTEE No. 51-03
RE: NOTICE OF CONFERENCE CALL -- MONDAY, MAY 19, 2003
There will be a conference call on Monday, May 19, 2003 at 3:00 p.m. Eastern time to
discuss certain aspects of the recently adopted customer identification program (CIP) rule for
mutual funds.1 Specifically, we would like to discuss:
1. The application of the definition of “customer” to transactions processed through
FundSERV and networked accounts; and
2. The application of the exception for existing customers to exchanges and similar
transactions.
To participate in the call, you must pre-register with us by filling out the attached
response form and faxing it to Amanda Busick at 202-326-5841 by the close of business on
Wednesday, May 7, 2003.
Use the information below to join the call. Given the large number of participants in
working group calls in the past, we recommend dialing in a few minutes prior to the start of the
meeting.
Conference Call Number: 1-888-425-4795
Pass Code: Money Laundering
Call Leader: Bob Grohowski
If you have any questions about the conference call, please contact Amanda Busick at
202-326-5836.
Robert C. Grohowski
Associate Counsel
Attachment (in .pdf format)
1 See Memorandum to Money Laundering Rules Working Group No. 27-03 and Transfer Agent Advisory Committee
No. 43-03, dated May 2, 2003.