Compliance Advisory Content

URGENT/ACTION REQUESTED [16675] October 16, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 87-03 INTERNATIONAL COMMITTEE No. 71-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 43-03 MONEY LAUNDERING RULES WORKING GROUP No. 58-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 89-03 TRANSFER...

[16669] October 15, 2003 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 52-03 COMPLIANCE ADVISORY COMMITTEE No. 86-03 SEC RULES COMMITTEE No. 83-03 RE: OCTOBER 29TH CONFERENCE CALL TO DISCUSS DRAFT COMPLIANCE PAPER RELATED TO THE SIDE-BY-SIDE MANAGEMENT OF REGISTERED FUNDS AND...

URGENT/ACTION REQUESTED [16665] October 14, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 85-03 INTERNATIONAL COMMITTEE No. 68-03 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 42-03 MONEY LAUNDERING RULES WORKING GROUP No. 57-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 88-03 TRANSFER...

[16659] October 13, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 84-03 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 24-03 INVESTMENT ADVISER MEMBERS No. 37-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 87-03 PRIVACY ISSUES WORKING GROUP No. 8-03 SEC RULES MEMBERS No. 139-03 SMALL FUNDS MEMBERS...

[16647] October 10, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 82-03 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 23-03 INVESTMENT ADVISER MEMBERS No. 36-03 RE: COURT DECISION ON APPLICATION OF SECTION 16(B) OF THE EXCHANGE ACT TO INVESTMENT ADVISERS In late 2000, three federal court...

[16650] October 9, 2003 TO: ACCOUNTING/TREASURERS MEMBERS No. 42-03 BOARD OF GOVERNORS No. 54-03 COMPLIANCE ADVISORY COMMITTEE No. 83-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 85-03 SEC RULES MEMBERS No. 137-03 SMALL FUNDS MEMBERS No. 58-03 UNIT INVESTMENT TRUST MEMBERS No. 35-03 RE...

[16631] October 8, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 80-03 OPERATIONS MEMBERS No. 31-03 PRIMARY CONTACTS - MEMBER COMPLEX No. 82-03 PRIVACY ISSUES WORKING GROUP No. 6-03 SEC RULES MEMBERS No. 133-03 SMALL FUNDS MEMBERS No. 55-03 TECHNOLOGY ADVISORY COMMITTEE No. 13-03 RE...

[16632] October 8, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 81-03 PRIVACY ISSUES WORKING GROUP No. 7-03 SEC RULES MEMBERS No. 134-03 SMALL FUNDS MEMBERS No. 56-03 TECHNOLOGY ADVISORY COMMITTEE No. 14-03 RE: CALIFORNIA ENACTS LEGISLATION REGULATING UNSOLICITED COMMERCIAL E-MAIL...

[16610] October 3, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 79-03 SEC RULES MEMBERS No. 131-03 RE: NEW YORK AND SEC ANNOUNCE CRIMINAL AND ADMINISTRATIVE ACTIONS AGAINST HEDGE FUND TRADER IN CONNECTION WITH LATE TRADING The Office of the New York State Attorney General and the...

[16585] September 29, 2003 TO: COMPLIANCE ADVISORY COMMITTEE No. 78-03 RE: NOTICE OF COMPLIANCE ADVISORY COMMITTEE MEETING AND WEST COAST VIDEOCONFERENCE - NOVEMBER 11, 2003 A meeting of the Compliance Advisory Committee has been scheduled for Tuesday, November 11, 2003, at the...