[16295]
July 14, 2003
TO: 529 PLAN ADVISORY COMMITTEE No. 40-03
BROKER/DEALER ADVISORY COMMITTEE No. 22-03
COMPLIANCE ADVISORY COMMITTEE No. 54-03
INTERNAL AUDIT ADVISORY COMMITTEE No. 6-03
INTERNATIONAL COMMITTEE No. 43-03
INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 30-03
INVESTMENT ADVISERS COMMITTEE No. 18-03
MONEY LAUNDERING RULES WORKING GROUP No. 46-03
OPERATIONS COMMITTEE No. 12-03
SEC RULES COMMITTEE No. 65-03
SMALL FUNDS COMMITTEE No. 25-03
RE: MATERIALS FOR JULY 16TH MEETING AND CONFERENCE CALL
As you know, the Institute’s Transfer Agent Advisory Committee and Money
Laundering Rules Working Group will have a meeting and conference call this Wednesday,
July 16th to discuss anti-money laundering issues. (Memorandum No. 16240, dated June 26,
2003, contains the details and dial-in information for the call.)
The meeting will begin at 2:00 p.m. Eastern time. The first hour will be devoted to a
regulatory update, particularly focusing on the Institute’s recent requests on the CIP rule and
comment letter on the AML program rule for investment advisers, and the attached shop talk
questions.
Beginning at 3:00 p.m. Eastern time, we will be joined by William Langford from
Treasury’s Office of the General Counsel and Hunter Jones from the SEC’s Division of
Investment Management and will begin our panel discussion. An outline for the panel is
attached. For those of you participating by phone, we encourage you to submit questions
during the panel discussion by sending an email to Amanda Busick at abusick@ici.org.
If you would like to participate in the conference call and have not yet registered, please
fill out the attached meeting response form and return it to Amanda Busick by fax at 202-326-
5841 by the close of business tomorrow. Only those who pre-register will be permitted to
participate on the call.
Robert C. Grohowski
Associate Counsel
Attachments (in .pdf format)