AML Compliance Working Group Content

[16453] August 19, 2003 TO: MONEY MARKET FUNDS ADVISORY COMMITTEE No. 16-03 RE: ICI COMMENT LETTER IN SUPPORT OF RULEMAKING PETITION RELATING TO TREATMENT OF MONEY MARKET FUNDS UNDER EXCHANGE ACT RULES The Investment Company Institute has prepared a comment letter in support of the...

ACTION REQUESTED [16437] August 15, 2003 TO: BANK AND TRUST ADVISORY COMMITTEE No. 10-03 BROKER/DEALER ADVISORY COMMITTEE No. 27-03 MONEY LAUNDERING RULES WORKING GROUP No. 50-03 PENSION COMMITTEE No. 26-03 PENSION OPERATIONS ADVISORY COMMITTEE No. 49-03 TRANSFER AGENT ADVISORY...

[16428] August 12, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 44-03 BROKER/DEALER ADVISORY COMMITTEE No. 25-03 BROKER/DEALER ASSOCIATE MEMBERS No. 4-03 COMPLIANCE ADVISORY COMMITTEE No. 60-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-03 MONEY LAUNDERING RULES WORKING GROUP No. 49-03...

URGENT/ACTION REQUESTED [16427] August 8, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 59-03 INTERNATIONAL COMMITTEE No. 52-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 33-03 MONEY LAUNDERING RULES WORKING GROUP No. 48-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 64-03 TRANSFER AGENT...

URGENT/ACTION REQUESTED [16361] July 29, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 56-03 INTERNATIONAL COMMITTEE No. 48-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 32-03 MONEY LAUNDERING RULES WORKING GROUP No. 47-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 59-03 TRANSFER AGENT...

[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...

[16259] July 7, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 17-03 MONEY LAUNDERING RULES WORKING GROUP No. 45-03 SEC RULES COMMITTEE No. 64-03 RE: ICI COMMENT LETTER ON PROPOSED ANTI-MONEY LAUNDERING PROGRAM REQUIREMENT FOR INVESTMENT ADVISERS The Institute submitted a comment letter...

URGENT/ACTION REQUESTED [16267] July 7, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 52-03 INTERNATIONAL COMMITTEE No. 41-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 29-03 MONEY LAUNDERING RULES WORKING GROUP No. 44-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 52-03 TRANSFER AGENT...

[16244] June 27, 2003 TO: MONEY LAUNDERING RULES WORKING GROUP No. 42-03 TRANSFER AGENT ADVISORY COMMITTEE No. 63-03 RE: TREASURY SEEKS ADDITIONAL COMMENTS ON SPECIFIC ASPECTS OF THE CUSTOMER IDENTIFICATION PROGRAM RULES The Department of the Treasury has issued a notice seeking...

[16250] June 27, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 16-03 MONEY LAUNDERING RULES WORKING GROUP No. 43-03 SEC RULES COMMITTEE No. 62-03 RE: DRAFT ICI COMMENT LETTER ON PROPOSED ANTI-MONEY LAUNDERING PROGRAM REQUIREMENT FOR INVESTMENT ADVISERS As previously indicated, the...