AML Compliance Working Group Content

URGENT/ACTION REQUESTED [15533] January 10, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 2-03 INTERNATIONAL COMMITTEE No. 3-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 1-03 MONEY LAUNDERING RULES WORKING GROUP No. 2-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 2-03 TRANSFER AGENT...

[15500] January 2, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 1-03 MONEY LAUNDERING RULES WORKING GROUP No. 1-03 UNIT INVESTMENT TRUST COMMITTEE No. 1-03 RE: FEDERAL REGULATORS SUBMIT REPORT TO CONGRESS ON ANTI-MONEY LAUNDERING AND INVESTMENT COMPANIES As you know, Section...

URGENT/ACTION REQUESTED [15495] December 27, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 116-02 INTERNATIONAL COMMITTEE No. 90-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 64-02 MONEY LAUNDERING RULES WORKING GROUP No. 75-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 99-02 TRANSFER...

ACTION REQUESTED [15477] December 20, 2002 TO: INTERNATIONAL COMMITTEE No. 88-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 63-02 MONEY LAUNDERING RULES WORKING GROUP No. 74-02 RE: TREASURY DESIGNATES NAURU AND UKRAINE AS AREAS OF SPECIAL MONEY LAUNDERING CONCERN The Treasury...

URGENT [15469] December 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 50-02 BROKER/DEALER ASSOCIATE MEMBERS No. 15-02 COMPLIANCE ADVISORY COMMITTEE No. 114-02 INTERNATIONAL MEMBERS No. 32-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 61-02 MONEY LAUNDERING RULES WORKING GROUP...

[15426] December 6, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 49-02 COMPLIANCE ADVISORY COMMITTEE No. 110-02 MONEY LAUNDERING RULES WORKING GROUP No. 72-02 SEC RULES MEMBERS No. 108-02 SMALL FUNDS MEMBERS No. 53-02 TRANSFER AGENT ADVISORY COMMITTEE No. 106-02 RE: DEVELOPMENTS...

URGENT/ACTION REQUESTED [15415] December 3, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 109-02 INTERNATIONAL COMMITTEE No. 84-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 59-02 MONEY LAUNDERING RULES WORKING GROUP No. 71-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 97-02 TRANSFER...

[15384] November 22, 2002 TO: INTERNATIONAL MEMBERS No. 30-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 55-02 MONEY LAUNDERING RULES WORKING GROUP No. 70-02 SEC RULES COMMITTEE No. 93-02 RE: ICI COMMENTS ON PROPOSED AML RULE FOR UNREGISTERED INVESTMENT COMPANIES In September...

[15377] November 22, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 48-02 COMPLIANCE ADVISORY COMMITTEE No. 105-02 MONEY LAUNDERING RULES WORKING GROUP No. 69-02 SEC RULES MEMBERS No. 103-02 SMALL FUNDS MEMBERS No. 51-02 TRANSFER AGENT ADVISORY COMMITTEE No. 104-02 RE: PROPOSED NASD...

URGENT/ACTION REQUESTED [15381] November 22, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 104-02 INTERNATIONAL COMMITTEE No. 81-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 54-02 MONEY LAUNDERING RULES WORKING GROUP No. 68-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 94-02 TRANSFER...