AML Compliance Working Group Content

URGENT/ACTION REQUESTED [15044] August 15, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 46-02 TRANSFER AGENT ADVISORY COMMITTEE No. 71-02 RE: DRAFT COMMENT LETTER ON CIP PROGRAM RULE PROPOSAL - NOTICE OF AUGUST 28TH CONFERENCE CALL As you know, in July the Department of the...

ACTION REQUESTED [15045] August 15, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 47-02 TRANSFER AGENT ADVISORY COMMITTEE No. 72-02 RE: NOTICE OF CONFERENCE CALL -- WEDNESDAY, AUGUST 28, 2002 There will be a conference call on Wednesday, August 28, 2002 at 3:00 p.m. Eastern time...

URGENT/ACTION REQUESTED [15036] August 13, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 30-02 COMPLIANCE ADVISORY COMMITTEE No. 62-02 INTERNATIONAL COMMITTEE No. 60-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 33-02 MONEY LAUNDERING RULES WORKING GROUP No. 45-02 PRIMARY...

URGENT [15028] August 12, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 29-02 COMPLIANCE ADVISORY COMMITTEE No. 60-02 INTERNATIONAL COMMITTEE No. 58-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 32-02 MONEY LAUNDERING RULES WORKING GROUP No. 44-02 PRIMARY CONTACTS - MEMBER...

[15015] August 9, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 28-02 MONEY LAUNDERING RULES WORKING GROUP No. 43-02 RE: TREASURY PROPOSES FORM FOR BROKER-DEALER SUSPICIOUS ACTIVITY REPORTING As you know, the Department of the Treasury recently adopted a rule that will require every...

[14972] July 30, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 24-02 COMPLIANCE ADVISORY COMMITTEE No. 55-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-02 INTERNATIONAL MEMBERS No. 22-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 29-02 MONEY LAUNDERING RULES WORKING GROUP No. 41-02...

[14942] July 22, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 21-02 COMPLIANCE ADVISORY COMMITTEE No. 51-02 INTERNATIONAL MEMBERS No. 20-02 MONEY LAUNDERING RULES WORKING GROUP No. 40-02 SEC RULES MEMBERS No. 52-02 SMALL FUNDS MEMBERS No. 21-02 TRANSFER AGENT ADVISORY COMMITTEE No...

[14925] July 18, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 38-02 TRANSFER AGENT ADVISORY COMMITTEE No. 59-02 RE: TREASURY AND SEC PROPOSE CUSTOMER IDENTIFICATION PROGRAM RULE Yesterday, the Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) and the...

ACTION REQUESTED [14933] July 18, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 39-02 TRANSFER AGENT ADVISORY COMMITTEE No. 60-02 RE: NOTICE OF CONFERENCE CALL -- WEDNESDAY, JULY 24, 2002 There will be a conference call on Wednesday, July 24, 2002 at 3:00 p.m. Eastern time to...

URGENT/ACTION REQUESTED [14927] July 17, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-02 COMPLIANCE ADVISORY COMMITTEE No. 50-02 INTERNATIONAL COMMITTEE No. 54-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 28-02 MONEY LAUNDERING RULES WORKING GROUP No. 37-02 PRIMARY CONTACTS...