AML Compliance Working Group Content

[15630] February 7, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-03 COMPLIANCE ADVISORY COMMITTEE No. 13-03 MONEY LAUNDERING RULES WORKING GROUP No. 12-03 TRANSFER AGENT ADVISORY COMMITTEE No. 17-03 RE: FINCEN ANNOUNCES NEW 314(A) INFORMATION REQUEST PROCEDURES; WILL BEGIN MAKING...

URGENT/ACTION REQUESTED [15626] February 6, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 10-03 INTERNATIONAL COMMITTEE No. 15-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 8-03 MONEY LAUNDERING RULES WORKING GROUP No. 10-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 13-03 TRANSFER AGENT...

[15627] February 6, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 5-03 MONEY LAUNDERING RULES WORKING GROUP No. 11-03 SEC RULES COMMITTEE No. 14-03 TRANSFER AGENT ADVISORY COMMITTEE No. 16-03 RE: INSTITUTE MAKES RECOMMENDATIONS TO TREASURY AML TASK FORCE As some of you may know, the...

URGENT/ACTION REQUESTED [15594] January 30, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 6-03 INTERNATIONAL COMMITTEE No. 13-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 7-03 MONEY LAUNDERING RULES WORKING GROUP No. 9-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 8-03 TRANSFER AGENT...

URGENT/ACTION REQUESTED [15584] January 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 5-03 INTERNATIONAL COMMITTEE No. 9-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 6-03 MONEY LAUNDERING RULES WORKING GROUP No. 8-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 7-03 TRANSFER AGENT...

URGENT/ACTION REQUESTED [15581] January 24, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 4-03 INTERNATIONAL COMMITTEE No. 8-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 5-03 MONEY LAUNDERING RULES WORKING GROUP No. 7-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 6-03 TRANSFER AGENT...

URGENT/ACTION REQUESTED [15578] January 22, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 3-03 INTERNATIONAL COMMITTEE No. 6-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 4-03 MONEY LAUNDERING RULES WORKING GROUP No. 6-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 5-03 TRANSFER AGENT...

ACTION REQUESTED [15564] January 17, 2003 TO: MONEY LAUNDERING RULES WORKING GROUP No. 5-03 TRANSFER AGENT ADVISORY COMMITTEE No. 6-03 RE: DRAFT LETTER TO TREASURY AML TASK FORCE As some of you may know, the Department of the Treasury has formed an interagency task force to look back...

ACTION REQUESTED [15558] January 16, 2003 TO: MONEY LAUNDERING RULES WORKING GROUP No. 4-03 TRANSFER AGENT ADVISORY COMMITTEE No. 5-03 RE: NOTICE OF CONFERENCE CALL -- THURSDAY, JANUARY 30, 2003 There will be a conference call on Thursday, January 30, 2003 at 3:00 p.m. Eastern time to...

[15551] January 15, 2003 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-03 MONEY LAUNDERING RULES WORKING GROUP No. 3-03 SEC RULES COMMITTEE No. 7-03 TRANSFER AGENT ADVISORY COMMITTEE No. 4-03 RE: TREASURY PROPOSES MUTUAL FUND SUSPICIOUS ACTIVITY REPORTING RULE The Department of the...