AML Compliance Working Group Content

  [24530] September 8, 2010 TO: COMPLIANCE MEMBERS No. 19-10 SEC RULES MEMBERS No. 87-10 SMALL FUNDS MEMBERS No. 49-10 AML COMPLIANCE WORKING GROUP No. 12-10 BROKER/DEALER ADVISORY COMMITTEE No. 37-10 OPERATIONS COMMITTEE No. 25-10 TRANSFER AGENT ADVISORY COMMITTEE No. 53-10 RE: SEC...

[24513]   August 27, 2010 TO: AML COMPLIANCE WORKING GROUP No. 11-10 TRANSFER AGENT ADVISORY COMMITTEE No. 50-10 BROKER/DEALER ADVISORY COMMITTEE No. 35-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 28-10 RE: MEMBER CALL - TRAVEL RULE AND GUIDANCE ON AML PROGRAMS AND...

    [24423]   July 16, 2010 TO: AML COMPLIANCE WORKING GROUP No. 10-10 TRANSFER AGENT ADVISORY COMMITTEE No. 35-10 RE: LETTER REQUESTING ADDITIONAL TIME TO COMPLY WITH THE TRAVEL RULE   In April, the Financial Crimes Enforcement Network (“FinCEN”) issued a final rule (the “Rule”)...

[24388]   June 25, 2010 TO: AML COMPLIANCE WORKING GROUP No. 9-10 TRANSFER AGENT ADVISORY COMMITTEE No. 32-10 RE: DRAFT LETTER -  EXTENSION OF TIME FOR MUTUAL FUNDS TO COMPLY WITH THE TRAVEL RULE   In April, the Financial Crimes Enforcement Network (“FinCEN”) issued a final rule (the...

[24354]   June 9, 2010 TO: AML COMPLIANCE WORKING GROUP No. 8-10 TRANSFER AGENT ADVISORY COMMITTEE No. 30-10 BROKER/DEALER ADVISORY COMMITTEE No. 20-10 SEC RULES COMMITTEE No. 22-10 RE: JOINT INDUSTRY ASSOCIATION LETTER ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   On June 9...

[24340]   June 1, 2010 TO: AML COMPLIANCE WORKING GROUP No. 7-10 TRANSFER AGENT ADVISORY COMMITTEE No. 29-10 RE: DRAFT JOINT ASSOCIATION LETTER ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   As we have discussed in recent working group teleconference calls, the Institute and...

    [24293]   May 11, 2010 TO: AML COMPLIANCE WORKING GROUP No. 6-10 OPERATIONS COMMITTEE No. 8-10 TRANSFER AGENT ADVISORY COMMITTEE No. 22-10 BROKER/DEALER ADVISORY COMMITTEE No. 12-10     RE: MEMBER CALL - TRAVEL RULE AND GUIDANCE ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION...

    [24233]   April 14, 2010 TO: AML COMPLIANCE WORKING GROUP No. 5-10 TRANSFER AGENT ADVISORY COMMITTEE No. 17-10     RE: FINCEN ISSUES FINAL RULE ON CTR FILINGS AND THE TRAVEL RULE; MEMBER CALL ON MAY 3RD   The Financial Crimes Enforcement Network (“FinCEN”) issued a final rule to...

    [24220]   April 7, 2010 TO: AML COMPLIANCE WORKING GROUP No. 4-10 OPERATIONS COMMITTEE No. 6-10 TRANSFER AGENT ADVISORY COMMITTEE No. 16-10 BANK, TRUST AND RECORDKEEPER ADVISORY COMMITTEE No. 8-10 BROKER/DEALER ADVISORY COMMITTEE No. 11-10 SMALL FUNDS COMMITTEE No. 3-10     RE...

    [24177]   March 9, 2010 TO: AML COMPLIANCE WORKING GROUP No. 3-10 OPERATIONS COMMITTEE No. 5-10 TRANSFER AGENT ADVISORY COMMITTEE No. 15-10     RE: MEMBER CALL AND FINCEN GUIDANCE ON AML PROGRAMS AND BENEFICIAL OWNERSHIP INFORMATION   On March 5th, the Financial Crimes Enforcement...