AML Compliance Working Group Content

[16240] June 26, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 37-03 BROKER/DEALER ADVISORY COMMITTEE No. 20-03 COMPLIANCE ADVISORY COMMITTEE No. 50-03 INTERNAL AUDIT ADVISORY COMMITTEE No. 5-03 INTERNATIONAL COMMITTEE No. 40-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 28-03...

[16236] June 25, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-03 COMPLIANCE ADVISORY COMMITTEE No. 49-03 MONEY LAUNDERING RULES WORKING GROUP No. 40-03 SEC RULES COMMITTEE No. 59-03 SMALL FUNDS COMMITTEE No. 22-03 TRANSFER AGENT ADVISORY COMMITTEE No. 62-03 RE: ICI REQUEST FOR...

URGENT/ACTION REQUESTED [16233] June 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 48-03 INTERNATIONAL COMMITTEE No. 39-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 27-03 MONEY LAUNDERING RULES WORKING GROUP No. 39-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 51-03 TRANSFER AGENT...

[16176] June 9, 2003 TO: 529 PLAN ADVISORY COMMITTEE No. 34-03 MONEY LAUNDERING RULES WORKING GROUP No. 38-03 TRANSFER AGENT ADVISORY COMMITTEE No. 58-03 RE: MSRB PROPOSES AML PROGRAM RULE FOR MUNICIPAL SECURITIES DEALERS The Municipal Securities Rulemaking Board proposed a rule that...

URGENT/ACTION REQUESTED [16170] June 6, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 44-03 INTERNATIONAL COMMITTEE No. 37-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 25-03 MONEY LAUNDERING RULES WORKING GROUP No. 37-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 43-03 TRANSFER AGENT...

ACTION REQUESTED [16155] June 4, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 18-03 MONEY LAUNDERING RULES WORKING GROUP No. 36-03 TRANSFER AGENT ADVISORY COMMITTEE No. 56-03 RE: NOTICE OF CONFERENCE CALL -- FRIDAY, JUNE 13, 2003 There will be a conference call on Friday, June 13...

URGENT/ACTION REQUESTED [16134] June 2, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 41-03 INTERNATIONAL COMMITTEE No. 35-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 24-03 MONEY LAUNDERING RULES WORKING GROUP No. 35-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 41-03 TRANSFER AGENT...

URGENT/ACTION REQUESTED [16128] May 29, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 40-03 INTERNATIONAL COMMITTEE No. 34-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 23-03 MONEY LAUNDERING RULES WORKING GROUP No. 34-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 39-03 TRANSFER AGENT...

ACTION REQUESTED [16058] May 14, 2003 TO: MONEY LAUNDERING RULES WORKING GROUP No. 33-03 TRANSFER AGENT ADVISORY COMMITTEE No. 51-03 RE: NOTICE OF CONFERENCE CALL -- MONDAY, MAY 19, 2003 There will be a conference call on Monday, May 19, 2003 at 3:00 p.m. Eastern time to discuss...

[16049] May 12, 2003 TO: MONEY LAUNDERING RULES WORKING GROUP No. 32-03 TRANSFER AGENT ADVISORY COMMITTEE No. 50-03 RE: FINAL CIP RULE PUBLISHED IN FEDERAL REGISTER The final customer identification program (CIP) rule for mutual funds has been published in the Federal Register.1 A...