AML Compliance Working Group Content

URGENT [14582] March 27, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 27-02 INTERNATIONAL COMMITTEE No. 22-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 11-02 MONEY LAUNDERING RULES WORKING GROUP No. 16-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 26-02 TRANSFER AGENT ADVISORY...

ACTION REQUESTED [14567] March 22, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 15-02 RE: NOTICE OF MEETING/CONFERENCE CALL ON TUESDAY, APRIL 16, 2002 As you know, a number of rules have recently been proposed that would implement various anti-money laundering provisions in the...

[14547] March 18, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 6-02 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 11-02 COMPLIANCE ADVISORY COMMITTEE No. 23-02 MONEY LAUNDERING RULES WORKING GROUP No. 14-02 SEC RULES COMMITTEE No. 22-02 SMALL FUNDS COMMITTEE No. 2-02 TRANSFER AGENT...

URGENT/ACTION REQUESTED [14525] March 12, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 13-02 RE: DRAFT COMMENT LETTER ON NASD ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM RULE We recently sent you a Securities and Exchange Commission request for comment on proposed NASD Rule 3011...

URGENT [14520] March 11, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 19-02 INTERNATIONAL COMMITTEE No. 18-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 10-02 MONEY LAUNDERING RULES WORKING GROUP No. 12-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 19-02 TRANSFER AGENT ADVISORY...

ACTION REQUESTED [14497] March 5, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 11-02 RE: FINCEN PROPOSES PATRIOT ACT RULES ON INFORMATION SHARING The Treasury Department’s Financial Crimes Enforcement Network (FinCEN) proposed rules yesterday that provide for the sharing of...

[14492] March 4, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 4-02 COMPLIANCE ADVISORY COMMITTEE No. 18-02 INTERNATIONAL COMMITTEE No. 16-02 MONEY LAUNDERING RULES WORKING GROUP No. 10-02 SEC RULES COMMITTEE No. 20-02 TRANSFER AGENT ADVISORY COMMITTEE No. 16-02 RE: ICI COMMENT LETTER...

[14488] February 28, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 9-02 RE: NASD PROPOSED RULE ON ANTI-MONEY LAUNDERING COMPLIANCE PROGRAMS The USA PATRIOT Act requires financial institutions, including broker-dealers and investment companies, to establish anti-money laundering...

[14460] February 13, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 13-02 INTERNATIONAL COMMITTEE No. 14-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 5-02 MONEY LAUNDERING RULES WORKING GROUP No. 8-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 10-02 TRANSFER AGENT ADVISORY COMMITTEE No...

URGENT/ACTION REQUESTED [14455] February 12, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 7-02 RE: ICI DRAFT COMMENT LETTER ON PROPOSED BROKER-DEALER SUSPICIOUS ACTIVITY REPORTING RULE As you know, the Department of the Treasury has proposed rules to require broker- dealers to...