AML Compliance Working Group Content

    [24102]   January 27, 2010 TO: AML COMPLIANCE WORKING GROUP No. 2-10 TRANSFER AGENT ADVISORY COMMITTEE No. 3-10     RE: FINCEN RULING RE: CUSTOMER IDENTIFICATION PROGRAM RULE - ADDRESS CONFIDENTIALITY PROGRAMS   The Financial Crimes Enforcement Network (“FinCEN”) recently made...

    [24073]   January 12, 2010 TO: AML COMPLIANCE WORKING GROUP No. 1-10 OFAC ALERT MEMBERS No. 2-10 TRANSFER AGENT ADVISORY COMMITTEE No. 1-10 BROKER/DEALER ADVISORY COMMITTEE No. 2-10     RE: CONFIRMATION OF OFAC PROGRAM LETTER FOR CLEARING AGENCIES - DUE MARCH 31, 2010   On...

    [23960]   November 18, 2009 TO: AML COMPLIANCE WORKING GROUP No. 9-09     RE: FINCEN PROPOSES RULE TO EXPAND SPECIAL INFORMATION SHARING PROCEDURES TO DETER MONEY LAUNDERING AND TERRORIST ACTIVITY   The Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”)...

    [23962]   November 18, 2009 TO: AML COMPLIANCE WORKING GROUP No. 10-09 OFAC ALERT MEMBERS No. 53-09     RE: OFAC ECONOMIC SANCTIONS ENFORCEMENT GUIDELINES   The Office of Foreign Assets Control (“OFAC”) of the Department of the Treasury recently issued a final rule setting forth...

    [23763]   September 4, 2009 TO: AML COMPLIANCE WORKING GROUP No. 8-09 TRANSFER AGENT ADVISORY COMMITTEE No. 66-09     RE: ICI COMMENT LETTER TO FINCEN ON THE PROPOSAL TO DEFINE MUTUAL FUNDS AS FINANCIAL INSTITUTIONS, SUBJECTING MUTUAL FUNDS TO CTR FILINGS AND THE TRAVEL RULE   As...

    [23698]   August 11, 2009 TO: AML COMPLIANCE WORKING GROUP No. 7-09 TRANSFER AGENT ADVISORY COMMITTEE No. 54-09     RE: DRAFT COMMENT LETTER TO FINCEN ON PROPOSAL TO DEFINE MUTUAL FUNDS AS FINANCIAL INSTITUTIONS, THEREBY SUBJECTING MUTUAL FUNDS TO CTR FILINGS AND THE TRAVEL RULE  ...

    [23516]   June 9, 2009 TO: AML COMPLIANCE WORKING GROUP No. 5-09 TRANSFER AGENT ADVISORY COMMITTEE No. 41-09     RE: ICI COMMENT LETTER ON FINCEN’S PROPOSED RULES AND GUIDANCE ON SUSPICIOUS ACTIVITY REPORTING   On March 3, 2009, the U.S. Treasury Department’s Financial Crimes...

    [23518]   June 9, 2009 TO: AML COMPLIANCE WORKING GROUP No. 6-09 TRANSFER AGENT ADVISORY COMMITTEE No. 42-09     RE: FINCEN PROPOSAL TO REPLACE FORM 8300 REQUIREMENT WITH CURRENCY TRANSACTION REPORT REQUIREMENT AND CONFERENCE CALL TO DICUSS PROPOSAL   On June 5, 2009, the...

    [23507]   June 3, 2009 TO: AML COMPLIANCE WORKING GROUP No. 4-09 TRANSFER AGENT ADVISORY COMMITTEE No. 40-09     RE: REVISED DRAFT ICI COMMENT LETTER ON FINCEN'S PROPOSED RULES AND GUIDANCE ON SUSPICIOUS ACTIVITY REPORTS   Attached is a revised draft ICI comment letter on the...

    [23484]   May 26, 2009 TO: AML COMPLIANCE WORKING GROUP No. 3-09 TRANSFER AGENT ADVISORY COMMITTEE No. 37-09     RE: DRAFT ICI COMMENT LETTER ON FINCEN’S PROPOSED RULES AND GUIDANCE ON SUSPICIOUS ACTIVITY REPORTS   On March 3, 2009, the U.S. Treasury Department’s Financial Crimes...