AML Compliance Working Group Content

[31765] May 16, 2019 TO: ICI Members ICI Global Members AML Compliance Working Group Chief Compliance Officer Committee ICI Global Investing Subcommittee ICI Global Regulated Funds Committee SEC Rules Committee SUBJECTS: Anti-Money Laundering Compliance International/Global Litigation...

[31674] March 21, 2019 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: Survey on Information Sharing under Section 314(b) of the USA PATRIOT Act Section 314(b) of the USA PATRIOT Act provides financial institutions (including mutual funds) with the ability to...

[31538] December 31, 2018 TO: ICI Members Investment Company Directors ICI Global Members Chief Compliance Officer Committee International Internal Audit Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Cybersecurity Exchange-Traded Funds (ETFs) Fixed Income Securities...

[31279] July 13, 2018 TO: ICI Members AML Compliance Working Group Bank, Trust and Retirement Advisory Committee Broker/Dealer Advisory Committee Compliance Advisory Committee Money Market Funds Advisory Committee Money Market Working Group Operations Committee SEC Rules Committee...

[31273] July 2, 2018 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: In-Person Meeting for AML Compliance Working Group: Thursday, September 20, 2018 ICI will host an in-person meeting of the AML Compliance Working Group on Thursday, September 20, 2018 from 10...

[31162] April 11, 2018 TO: ICI Members SUBJECTS: Anti-Money Laundering Compliance Operations Transfer Agency RE: FinCEN Issues New Customer Due Diligence FAQs; OFAC Issues Cryptocurrency FAQs The Financial Crimes Enforcement Network (FinCEN) issued additional FAQs related to its...

[31091] February 16, 2018 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Advertising Anti-Money Laundering Compliance Cybersecurity Exchange-Traded Funds (ETFs) Fixed Income Securities Litigation & Enforcement Municipal Securities Variable Insurance Products...

[31038] January 19, 2018 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Anti-Money Laundering Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Fund Accounting & Financial Reporting Risk Oversight Valuation RE: SEC Letter to ICI on Fund...

[30831] August 11, 2017 TO: AML Compliance Working Group Compliance Advisory Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Customer Due Diligence Social Code Categorization Matrix We are pleased to announce the...

[30807] July 28, 2017 TO: ICI Members SUBJECTS: 529 Plans Anti-Money Laundering Systemic Risk RE: ICI Submits Letter to Treasury Department Recommending Rule Modifications to Reduce Regulatory Burdens In June, the Treasury Department issued a request for information (RFI) seeking the...