AML Compliance Working Group Content

[29247] August 13, 2015 TO: AML COMPLIANCE WORKING GROUP No. 2-15 TRANSFER AGENT ADVISORY COMMITTEE No. 41-15 RE: IN-PERSON MEETING FOR AML COMPLIANCE WORKING GROUP - FRIDAY, SEPTEMBER 11, 2015; INFORMATION ON GUEST SPEAKERS   As we previously informed you, the Investment Company...

[29166] July 10, 2015 TO: AML COMPLIANCE WORKING GROUP No. 1-15 TRANSFER AGENT ADVISORY COMMITTEE No. 35-15 RE: IN-PERSON MEETING FOR AML COMPLIANCE WORKING GROUP - FRIDAY, SEPTEMBER 11, 2015   The Investment Company Institute will host an in-person meeting of the AML Compliance...

[28441] October 9, 2014 TO: AML COMPLIANCE WORKING GROUP No. 5-14 BROKER/DEALER ADVISORY COMMITTEE No. 50-14 SEC RULES COMMITTEE No. 36-14 TRANSFER AGENT ADVISORY COMMITTEE No. 66-14 RE: ICI COMMENT LETTER ON FINCEN CUSTOMER DUE DILIGENCE PROPOSAL   On October 2, 2014, the Institute...

[28310] August 13, 2014 TO: AML COMPLIANCE WORKING GROUP No. 4-14 RE: IN-PERSON MEETING FOR AML COMPLIANCE WORKING GROUP - WEDNESDAY, SEPTEMBER 10, 2014   The Investment Company Institute will host an in-person meeting of the AML Compliance Working Group on Wednesday, September 10...

[28307] August 11, 2014 TO: AML COMPLIANCE WORKING GROUP No. 3-14 BROKER/DEALER ADVISORY COMMITTEE No. 41-14 SEC RULES COMMITTEE No. 32-14 TRANSFER AGENT ADVISORY COMMITTEE No. 51-14 RE: FINCEN PROPOSES CUSTOMER DUE DILIGENCE RULES   On July 30, 2014, the Financial Crimes Enforcement...

[28011] April 2, 2014 TO: AML COMPLIANCE WORKING GROUP No. 2-14 RE: FINCEN GUIDANCE - BSA EXPECTATIONS REGARDING MARIJUANA-RELATED BUSINESSES   Overview On February 14, 2014, the Department of the Treasury, Financial Crimes Enforcement Network (“FinCEN”) issued Guidance FIN 2014-G001...

URGENT/ACTION REQUESTED [27973] March 24, 2014 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 16-14 PENSION MEMBERS No. 12-14 AML COMPLIANCE WORKING GROUP No. 1-14 RE: ACCESS TO DEATH MASTER FILE WILL END MARCH 26TH UNLESS SUBSCRIBERS COMPLETE TEMPORARY CERTIFICATION FORM; CALL SCHEDULED...

[27812] December 27, 2013 TO: AML COMPLIANCE WORKING GROUP No. 4-13 RE: U.S. TREASURY DEPARTMENT SOLICITS APPLICATIONS FOR MEMBERSHIP ON THE BANK SECRECY ACT ADVISORY GROUP   The Financial Crimes Enforcement Network (“FinCEN”) of the U.S. Treasury Department is soliciting nominations...

[27498] August 27, 2013 TO: AML COMPLIANCE WORKING GROUP No. 3-13 RE: AML COMPLIANCE WORKING GROUP MEETING - SEPTEMBER 10, 2013; INFORMATION ON AGENDA   We are writing to remind you to register for the upcoming in-person meeting of the AML Compliance Working Group and to provide...

[27451] August 9, 2013 TO: AML COMPLIANCE WORKING GROUP No. 2-13 RE: AML COMPLIANCE WORKING GROUP MEETING- SEPTEMBER 10, 2013; INFORMATION ON GUEST SPEAKERS   As we previously informed you, the Investment Company Institute will host an in-person meeting of the AML Compliance Working...