AML Compliance Working Group Content

URGENT/ACTION REQUESTED [15364] November 19, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 101-02 INTERNATIONAL COMMITTEE No. 80-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 52-02 MONEY LAUNDERING RULES WORKING GROUP No. 66-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 92-02 TRANSFER...

[15365] November 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-02 BROKER/DEALER ASSOCIATE MEMBERS No. 13-02 COMPLIANCE ADVISORY COMMITTEE No. 102-02 CONTINUING EDUCATION AND TRAINING MEMBERS No. 13-02 HUMAN RESOURCES MEMBERS No. 12-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-02...

ACTION REQUESTED [15345] November 8, 2002 TO: INTERNATIONAL COMMITTEE No. 79-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 50-02 MONEY LAUNDERING RULES WORKING GROUP No. 65-02 RE: NOTICE OF CONFERENCE CALL -- TUESDAY, NOVEMBER 19, 2002 There will be a conference call on Tuesday...

[15326] November 8, 2002 TO: INTERNATIONAL COMMITTEE No. 78-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 49-02 MONEY LAUNDERING RULES WORKING GROUP No. 64-02 RE: DRAFT COMMENT LETTER ON AML PROGRAM RULE FOR UNREGISTERED INVESTMENT COMPANIES The Department of the Treasury’s...

URGENT/ACTION REQUESTED [15334] November 6, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 97-02 INTERNATIONAL COMMITTEE No. 77-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 48-02 MONEY LAUNDERING RULES WORKING GROUP No. 63-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 90-02 TRANSFER...

[15305] TO: BROKER/DEAL COMPLIANCE MONEY LAUN SEC RULES ME SMALL FUNDS TRANSFER AGE RE: TREASURY SUB VERIFICATION On October 22, 2 addressing issues relate foreign nationals who o by Section 326(b) of the In the report, Tr financial institutions’ ab a result, the report state...

[15307] October 28, 2002 TO: CLOSED-END INVESTMENT COMPANY MEMBERS No. 52-02 MONEY LAUNDERING RULES WORKING GROUP No. 62-02 UNIT INVESTMENT TRUST MEMBERS No. 32-02 RE: TREASURY DEFERS APPLICATION OF AML PROGRAM RULES TO INVESTMENT COMPANIES OTHER THAN MUTUAL FUNDS On October 25, 2002...

URGENT/ACTION REQUESTED [15300] October 25, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 93-02 INTERNATIONAL COMMITTEE No. 76-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 46-02 MONEY LAUNDERING RULES WORKING GROUP No. 60-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 87-02 TRANSFER...

URGENT/ACTION REQUESTED [15285] October 21, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 91-02 INTERNATIONAL COMMITTEE No. 75-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 45-02 MONEY LAUNDERING RULES WORKING GROUP No. 59-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 85-02 TRANSFER...

[15263] October 15, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 42-02 COMPLIANCE ADVISORY COMMITTEE No. 88-02 MONEY LAUNDERING RULES WORKING GROUP No. 58-02 SEC RULES MEMBERS No. 88-02 SMALL FUNDS MEMBERS No. 42-02 RE: TREASURY DEPARTMENT GUIDANCE ON COMPLIANCE WITH SECTION 326 OF...