AML Compliance Working Group Content

  [21854]   October 17, 2007 TO: AML COMPLIANCE WORKING GROUP No. 7-07 RE: FINCEN PUBLISHES REFERENCE PAPER ON COMMON ERRORS IN SUSPICIOUS ACTIVITY REPORTS   The Financial Crimes Enforcement Network (FinCEN) published a reference paper last week summarizing common errors it has...

  [21756]   October 5, 2007 TO: AML COMPLIANCE WORKING GROUP No. 6-07 RE: OPPORTUNITY TO DISCUSS ENHANCED DUE DILIGENCE RULE, OFAC GUIDANCE AND SAR RULE - FRIDAY, OCTOBER 19   The AML Compliance Working Group will have a conference call on Friday, October 19 at 1:30 p.m. to discuss...

[21531]   August 27, 2007 TO: AML COMPLIANCE WORKING GROUP No. 5-07 SEC RULES MEMBERS No. 112-07 TRANSFER AGENT ADVISORY COMMITTEE No. 51-07 RE: FINCEN ISSUES FINAL RULE ON “ENHANCED DUE DILIGENCE” REQUIREMENTS FOR ACCOUNTS OF CERTAIN FOREIGN BANKS   The Financial Crimes Enforcement...

    [21255]   June 14, 2007 TO: AML COMPLIANCE WORKING GROUP No. 4-07 RE: FINCEN PUBLISHES GUIDANCE ON SUSPICIOUS ACTIVITY REPORT SUPPORTING DOCUMENTATION   The Financial Crimes Enforcement Network (FinCEN) published guidance yesterday regarding supporting documentation for Suspicious...

     [21049]   April 13, 2007 TO: AML COMPLIANCE WORKING GROUP No. 3-07     RE: SEC CHARGES BROKER-DEALER WITH FAILURE TO FILE REQUIRED SUSPICIOUS ACTIVITY REPORTS   The Securities and Exchange Commission has instituted its first enforcement action alleging that a broker-dealer failed...

    [20973]   March 21, 2007 TO: AML COMPLIANCE WORKING GROUP No. 2-07     RE: FINCEN ADOPTS RULE IMPOSING “SPECIAL MEASURES” AGAINST BANCO DELTA ASIA AS A FINANCIAL INSTITUTION OF PRIMARY MONEY LAUNDERING CONCERN   The Financial Crimes Enforcement Network adopted a final rule last...

    [20958]   March 15, 2007 TO: AML COMPLIANCE WORKING GROUP No. 1-07 INTERNATIONAL COMMITTEE No. 4-07 INTERNATIONAL INVESTING SUBCOMMITTEE No. 1-07 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 4-07 PRIMARY CONTACTS - MEMBER COMPLEX No. 5-07 SEC RULES COMMITTEE No. 26-07     RE...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20681] December 12, 2006 TO: AML COMPLIANCE WORKING GROUP...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20587] November 15, 2006 TO: 529 PLAN ADVISORY COMMITTEE No...

©2006 Investment Company Institute. All rights reserved. Information may be abridged and therefore incomplete. Communications from the Institute do not constitute, and should not be considered a substitute for, legal advice. [20587] November 15, 2006 TO: 529 PLAN ADVISORY COMMITTEE No...