AML Compliance Working Group Content

[32927] November 20, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Transfer Agency RE: ICI Files Comment Letter with FinCEN on Its Advanced Notice of Proposed Rulemaking Regarding Anti-Money Laundering Program...

[32931] November 20, 2020 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee Operations Committee Public Communications Committee SEC...

[32913] November 16, 2020 TO: AML Compliance Working Group Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee Operations Committee Public Communications Committee SEC...

[32908] November 11, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Registration Now Open for ICI's December 14, 2020 AML Compliance Working Group Virtual Meeting ICI’s AML Compliance Working Group will hold a videoconference meeting via Zoom on Monday...

[32815] October 8, 2020 TO: ICI Members SUBJECTS: Anti-Money Laundering Compliance Transfer Agency RE: Register for ICI's October 23rd Call to Discuss FinCEN's Advance Notice of Proposed Rulemaking Regarding Anti-Money Laundering Program Effectiveness On September 16, 2020, FinCEN...

[32641] July 28, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Registration Now Open for ICI's September 22, 2020 AML Compliance Working Group Virtual Meeting ICI’s AML Compliance Working Group will hold a videoconference meeting via Zoom on Tuesday...

[32470] May 20, 2020 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Save the Date: Annual AML Compliance Working Group Meeting, September 22 In lieu of our annual in-person AML Compliance Working Group meeting, we will be holding a virtual meeting on Tuesday...

[32131] January 8, 2020 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity...

[31914] August 21, 2019 TO: ICI Global Members ICI Global Pacific Chapter ICI Global Regulated Funds Committee SUBJECTS: Anti-Money Laundering International/Global Operations Trading and Markets RE: Monetary Authority of Singapore (MAS) Issues Consultation on the Requirements on...

[31840] July 9, 2019 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: In-Person Meeting for AML Compliance Working Group: Tuesday, September 17, 2019 The Investment Company Institute will host an in-person meeting of the AML Compliance Working Group on Tuesday...