AML Compliance Working Group Content

URGENT/ACTION REQUESTED [14747] May 28, 2002 TO: INTERNATIONAL COMMITTEE No. 38-02 MONEY LAUNDERING RULES WORKING GROUP No. 26-02 RE: TREASURY PROPOSAL CONCERNING DUE DILIGENCE AML PROGRAMS FOR CERTAIN FOREIGN ACCOUNTS -- JUNE 6TH CONFERENCE CALL The Treasury Department and its...

URGENT/ACTION REQUESTED [14733] May 20, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 25-02 RE: DRAFT LETTER TO TREASURY ON MUTUAL FUND AML PROGRAM RULE As you know, the Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) recently issued an interim final...

URGENT/ACTION REQUESTED [14696] May 6, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 24-02 RE: NOTICE OF MEETING -- CONFERENCE CALL SCHEDULED FOR THURSDAY, MAY 9, 2002 The money laundering rules working group will have a conference call on Thursday, May 9, 2002 at 3:00 p.m...

URGENT [14689] May 3, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 12-02 COMPLIANCE ADVISORY COMMITTEE No. 39-02 INTERNATIONAL COMMITTEE No. 34-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 18-02 MONEY LAUNDERING RULES WORKING GROUP No. 23-02 PRIMARY CONTACTS - MEMBER COMPLEX No...

[14674] April 25, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 22-02 RE: TREASURY RELEASES INTERIM FINAL RULES ON MUTUAL FUND ANTI-MONEY LAUNDERING PROGRAMS; SEC APPROVES NASD RULE ON BROKER-DEALER ANTI-MONEY LAUNDERING PROGRAMS The USA PATRIOT Act requires financial institutions...

[14653] April 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 10-02 COMPLIANCE ADVISORY COMMITTEE No. 36-02 INTERNATIONAL COMMITTEE No. 31-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 16-02 MONEY LAUNDERING RULES WORKING GROUP No. 21-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 34...

[14635] April 12, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 9-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 14-02 COMPLIANCE ADVISORY COMMITTEE No. 33-02 MONEY LAUNDERING RULES WORKING GROUP No. 20-02 SEC RULES MEMBERS No. 25-02 SMALL FUNDS MEMBERS No. 10-02 TRANSFER AGENT ADVISORY...

[14629] April 11, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 19-02 TRANSFER AGENT ADVISORY COMMITTEE No. 29-02 RE: ANTI-MONEY LAUNDERING MEETING ON TUESDAY, APRIL 16, 2002 As you know, the Transfer Agent Advisory Committee and the Money Laundering Rules Working Group will be...

[14601] April 3, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 8-02 COMPLIANCE ADVISORY COMMITTEE No. 30-02 INTERNATIONAL COMMITTEE No. 25-02 MONEY LAUNDERING RULES WORKING GROUP No. 18-02 SEC RULES COMMITTEE No. 27-02 TRANSFER AGENT ADVISORY COMMITTEE No. 28-02 RE: ICI COMMENT LETTER...

URGENT/ACTION REQUESTED [14579] March 27, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 17-02 RE: DRAFT COMMENT LETTER ON FINCEN’S PROPOSED INFORMATION SHARING RULE As you know, the Treasury Department’s Financial Crimes Enforcement Network (FinCEN) proposed rules earlier this...