AML Compliance Working Group Content

[30752] June 22, 2017 TO: AML Compliance Working Group Chief Risk Officer Committee Closed-End Investment Company Committee ICI Global Regulated Funds Committee Pension Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee RE: Treasury Department Seeks...

[30733] June 7, 2017 TO: AML Compliance Working GroupTransfer Agent Advisory Committee RE: In-Person Meeting for AML Compliance Working Group: Tuesday, September 12, 2017 The Investment Company Institute will host an in-person meeting of the AML Compliance Working Group on Tuesday...

[30602] February 24, 2017 TO: ICI Members AML Compliance Working Group Broker/Dealer Advisory Committee Investment Advisers Committee Operations Committee SEC Rules Committee Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Anti-Money Laundering Compliance Operations...

[30527] January 18, 2017 TO: AML Compliance Working Group Transfer Agent Advisory Committee RE: ICI Call Scheduled for February 2 (2:00 pm ET) to Discuss FinCEN's Cyber Advisory The Financial Crimes Enforcement Network (“FinCEN”) issued an advisory to financial institutions on cyber...

[30040] July 15, 2016 TO: AML COMPLIANCE WORKING GROUP No. 3-16 TRANSFER AGENT ADVISORY COMMITTEE No. 28-16 RE: IN-PERSON MEETING FOR AML COMPLIANCE WORKING GROUP: FRIDAY, SEPTEMBER 9, 2016   The Investment Company Institute will host an in-person meeting of the AML Compliance Working...

[29912] May 16, 2016 TO: AML COMPLIANCE WORKING GROUP No. 2-16 BROKER/DEALER ADVISORY COMMITTEE No. 15-16 INVESTMENT ADVISERS COMMITTEE No. 8-16 OPERATIONS COMMITTEE No. 11-16 SEC RULES COMMITTEE No. 23-16 SMALL FUNDS COMMITTEE No. 14-16 TRANSFER AGENT ADVISORY COMMITTEE No. 19-16 RE...

[29608] January 5, 2016 TO: AML COMPLIANCE WORKING GROUP No. 1-16 INVESTMENT ADVISERS COMMITTEE No. 2-16 OPERATIONS COMMITTEE No. 1-16 SEC RULES COMMITTEE No. 2-16 SMALL FUNDS COMMITTEE No. 2-16 TRANSFER AGENT ADVISORY COMMITTEE No. 1-16 RE: FINCEN RELEASES REGULATORY IMPACT...

[29461] November 2, 2015 TO: AML COMPLIANCE WORKING GROUP No. 5-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 68-15 INTERNATIONAL MEMBERS No. 38-15 INVESTMENT ADVISER MEMBERS No. 25-15 OPERATIONS MEMBERS No. 29-15 SEC RULES MEMBERS No. 57-15 SMALL FUNDS MEMBERS No. 44-15 TRANSFER AGENT...

[29432] October 21, 2015 TO: AML COMPLIANCE WORKING GROUP No. 4-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 64-15 INTERNATIONAL COMMITTEE No. 57-15 INVESTMENT ADVISERS COMMITTEE No. 13-15 OPERATIONS COMMITTEE No. 23-15 SEC RULES COMMITTEE No. 33-15 SMALL FUNDS COMMITTEE No. 31-15...

[29323] September 8, 2015 TO: AML COMPLIANCE WORKING GROUP No. 3-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 55-15 INVESTMENT ADVISERS COMMITTEE No. 11-15 OPERATIONS COMMITTEE No. 20-15 SEC RULES COMMITTEE No. 29-15 SMALL FUNDS COMMITTEE No. 28-15 TRANSFER AGENT ADVISORY COMMITTEE No...