AML Compliance Working Group Content

[27361] July 8, 2013 TO: AML COMPLIANCE WORKING GROUP No. 1-13 RE: IN-PERSON MEETING FOR AML COMPLIANCE WORKING GROUP - TUESDAY, SEPTEMBER 10, 2013   The Investment Company Institute will host an in-person meeting of the AML Compliance Working Group on Tuesday, September 10, 2013 from...

[26300] July 13, 2012 TO: AML COMPLIANCE WORKING GROUP No. 6-12 TRANSFER AGENT ADVISORY COMMITTEE No. 42-12 BROKER/DEALER ADVISORY COMMITTEE No. 33-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 30-12 RE: FINCEN HEARING (JULY 31) ON PROPOSED RULEMAKING REGARDING CUSTOMER DUE...

  [26173] May 21, 2012 TO: AML COMPLIANCE WORKING GROUP No. 5-12 COMPLIANCE MEMBERS No. 6-12 INVESTMENT ADVISER MEMBERS No. 8-12 INTERNATIONAL MEMBERS No. 18-12 RE: OFAC SETTLEMENT WITH US ASSET MANAGER UNDER IRANIAN TRANSACTIONS REGULATIONS   On May 21, 2012, the Office of Foreign...

[26148] May 7, 2012 TO: AML COMPLIANCE WORKING GROUP No. 4-12 TRANSFER AGENT ADVISORY COMMITTEE No. 30-12 BROKER/DEALER ADVISORY COMMITTEE No. 22-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 20-12 OPERATIONS COMMITTEE No. 15-12 RE: ICI COMMENT LETTER ON FINCEN'S ADVANCE NOTICE...

[25960] March 5, 2012 TO: AML COMPLIANCE WORKING GROUP No. 3-12 TRANSFER AGENT ADVISORY COMMITTEE No. 14-12 BROKER/DEALER ADVISORY COMMITTEE No. 13-12 BANK, TRUST AND RETIREMENT ADVISORY COMMITTEE No. 10-12 RE: FINCEN'S ADVANCE NOTICE OF PROPOSED RULEMAKING ON POSSIBLE CUSTOMER DUE...

[25957] March 1, 2012 TO: AML COMPLIANCE WORKING GROUP No. 2-12 RE: IN-PERSON MEETING FOR AML COMPLIANCE WORKING GROUP - MONDAY, APRIL 2, 2012   The Investment Company Institute will host an in-person meeting of the AML Compliance Working Group on Monday, April 2 from 10 AM to 3 PM in...

[25947] February 29, 2012 TO: AML COMPLIANCE WORKING GROUP No. 1-12 RE: FATF PUBLISHES REVISED RECOMMENDATIONS   On February 16, 2012, the Financial Action Task Force (“FATF”) published revised Recommendations following two years of consideration by member countries (“Recommendations”...

[25664] November 25, 2011 TO: AML COMPLIANCE WORKING GROUP No. 5-11 TRANSFER AGENT ADVISORY COMMITTEE No. 98-11 BROKER/DEALER ADVISORY COMMITTEE No. 78-11 RE: NEW SANCTIONS ON IRAN AND NOTICE OF PROPOSED RULEMAKING   On November 21, the U.S. Department of the Treasury announced that...

[25504] September 20, 2011 TO: AML COMPLIANCE WORKING GROUP No. 4-11 TRANSFER AGENT ADVISORY COMMITTEE No. 79-11 RE: ICI LETTER ON THE FATF CONSULTATION ON REVIEW OF THE STANDARDS (SECOND PUBLIC CONSULTATION)   On September 16, the Institute submitted a letter commenting on the...

[25371] August 1, 2011 TO: AML COMPLIANCE WORKING GROUP No. 3-11 RE: FATF CONSULTATION - SECOND PHASE OF THE REVIEW OF THE RECOMMENDATIONS   On June 27, 2011, the Financial Action Task Force (“FATF”) issued a Consultation Paper (the “June Paper”) for a second phase of their review of...