AML Compliance Working Group Content

URGENT/ACTION REQUESTED [16033] May 9, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 36-03 INTERNATIONAL COMMITTEE No. 32-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 22-03 MONEY LAUNDERING RULES WORKING GROUP No. 31-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 35-03 TRANSFER AGENT...

[16022] May 7, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 35-03 INTERNATIONAL COMMITTEE No. 31-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 21-03 MONEY LAUNDERING RULES WORKING GROUP No. 30-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 34-03 TRANSFER AGENT ADVISORY COMMITTEE No. 46...

[15991] May 2, 2003 TO: MONEY LAUNDERING RULES WORKING GROUP No. 27-03 TRANSFER AGENT ADVISORY COMMITTEE No. 43-03 RE: SEC AND TREASURY ADOPT FINAL CUSTOMER IDENTIFICATION PROGRAM RULE FOR MUTUAL FUNDS Yesterday, Treasury and other federal regulators released final rules for customer...

URGENT/ACTION REQUESTED [15996] May 2, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 33-03 INTERNATIONAL COMMITTEE No. 29-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 20-03 MONEY LAUNDERING RULES WORKING GROUP No. 29-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 33-03 TRANSFER AGENT...

ACTION REQUESTED [15994] May 2, 2003 TO: MONEY LAUNDERING RULES WORKING GROUP No. 28-03 TRANSFER AGENT ADVISORY COMMITTEE No. 44-03 RE: NOTICE OF CONFERENCE CALL -- THURSDAY, MAY 8, 2003 There will be a conference call on Thursday, May 8, 2003 at 2:00 p.m. Eastern time to discuss the...

[15974] April 29, 2003 TO: INVESTMENT ADVISERS COMMITTEE No. 9-03 MONEY LAUNDERING RULES WORKING GROUP No. 26-03 SEC RULES COMMITTEE No. 42-03 RE: TREASURY PROPOSES INVESTMENT ADVISER AML PROGRAM RULE The Bank Secrecy Act, as amended by the USA PATRIOT Act, requires certain financial...

[15914] April 17, 2003 TO: BANK AND TRUST ADVISORY COMMITTEE No. 5-03 BROKER/DEALER ADVISORY COMMITTEE No. 16-03 MONEY LAUNDERING RULES WORKING GROUP No. 26-03 OPERATIONS MEMBERS No. 12-03 SMALL FUNDS COMMITTEE No. 15-03 TRANSFER AGENT ADVISORY COMMITTEE No. 41-03 RE: HOMELAND...

ACTION REQUESTED [15901] April 16, 2003 TO: INTERNATIONAL COMMITTEE No. 26-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 17-03 MONEY LAUNDERING RULES WORKING GROUP No. 25-03 TRANSFER AGENT ADVISORY COMMITTEE No. 40-03 RE: TREASURY IMPOSES SPECIAL MEASURES AGAINST THE COUNTRY OF...

[15876] April 7, 2003 TO: MONEY LAUNDERING RULES WORKING GROUP No. 24-03 TAX COMMITTEE No. 22-03 TRANSFER AGENT ADVISORY COMMITTEE No. 38-03 RE: ICI COMMENT LETTER ON IRS FORM 8300 The Internal Revenue Service (IRS) and the Financial Crimes Enforcement Network (FinCEN) recently...

[15796] March 24, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 13-03 MONEY LAUNDERING RULES WORKING GROUP No. 23-03 SEC RULES MEMBERS No. 36-03 TAX COMMITTEE No. 17-03 TRANSFER AGENT ADVISORY COMMITTEE No. 35-03 RE: ICI COMMENT LETTER ON PROPOSED MUTUAL FUND SAR RULE On Friday, the...