[16255]
July 1, 2003
TO: TRANSFER AGENT ADVISORY COMMITTEE No. 64-03
RE: PRELIMINARY AGENDA FOR JULY 16-17, 2003 TAAC MEETING
The next meeting of the Transfer Agent Advisory Committee will be held on
Wednesday, July 16th from 2:00 to 5:00 p.m. ET and Thursday, July 17th 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 is attached for
your review.
The afternoon of July 16th will be devoted to money laundering issues. The ICI’s Money
Laundering Rules Working Group and several ICI Committees have been invited to participate
via conference call. A regulatory update will be provided by ICI staff at the beginning of the
meeting. In lieu of a typical agenda for the rest of the meeting, however, we have arranged for
a question and answer session with a panel of distinguished speakers that will begin at 3:00
p.m. ET, which includes:
Diane Ambler, Partner, Kirkpatrick & Lockhart
Cynthia Fornelli, Deputy Director of the Division of Investment Management, US Securities
and Exchange Commission (invited)
William Langford, Senior Advisor to the General Counsel, Department of the Treasury
Amy Rudnick, Partner, Gibson, Dunn & Crutcher
Paul Stevens, Partner, Dechert
If you are unable to attend the July 16th TAAC meeting and would like to participate in
the AML session by telephone, you must pre-register by notifying Amanda Busick at the ICI by
email at abusick@ici.org. Please include your full name and company. Once registered, you
can use the information below to join the call. Given the large number of participants on AML
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
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Please note that if you participate by telephone, however, you will be restricted to listen-
only mode with the ability to pose questions during the meeting by sending an email to
Amanda Busick during the session at abusick@ici.org. If any TAAC member has AML “shop
talk” questions to pose to other members and questions to pose to the panelists, please forward
them to Amanda Busick via email as soon as possible. The AML shop talk discussion topics
will be emailed to attendees prior to the meeting.
The TAAC dinner will be held on Wednesday, July 16, 2003 at The Oval Room, located
at 800 Connecticut Ave., NW, Washington, D.C. 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 meeting is business and for the dinner is business casual. Please note that if you confirm
attendance for the TAAC dinner and cancel within 48 hours of the scheduled event, you will
still be charged for your portion of the pre-arranged dinner.
At the July 17th TAAC meeting, we are pleased to have Dan Steiner, Vice President and
General Counsel of ICI Mutual Insurance Company, give a presentation on “Claims, Trends
and Fraud Prevention.” If you would like to submit any operations (non-AML) “shop talk”
discussion items for the morning of July 17th please email them to Kathy Joaquin at
kjoaquin@ici.org as soon as possible. These topics will be circulated to the TAAC via email
approximately one week before the meeting.
We look forward to seeing you in Washington.
Cynthia Jones Kathleen C. Joaquin
Liberty Funds Services, Inc. Director - Transfer Agency
Chair & International Operations
Attachment (in .pdf format)