Compliance Advisory Content

[15340] November 7, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 98-02 INVESTMENT ADVISER ASSOCIATE MEMBERS No. 29-02 INVESTMENT ADVISER MEMBERS No. 47-02 SEC RULES MEMBERS No. 98-02 RE: SEC SANCTIONS INVESTMENT ADVISER AND CHIEF INVESTMENT OFFICER FOR VIOLATIONS RELATING TO PROHIBITED...

URGENT/ACTION REQUESTED [15334] November 6, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 97-02 INTERNATIONAL COMMITTEE No. 77-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 48-02 MONEY LAUNDERING RULES WORKING GROUP No. 63-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 90-02 TRANSFER...

[15316] October 31, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 96-02 RE: COMMITTEE MEETING - DRAFT AGENDA As we previously informed you,1 the next meeting of the Compliance Advisory Committee is scheduled for Tuesday, November 12, 2002. The meeting will take place at the offices of...

[15304] October 28, 2002 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 42-02 COMPLIANCE ADVISORY COMMITTEE No. 95-02 SEC RULES COMMITTEE No. 87-02 RE: CFTC PROPOSES AMENDMENT TO RULE 4.5 AND ISSUES RELATED NO-ACTION POSITION The Commodity Futures Trading Commission has proposed an...

[15305] TO: BROKER/DEAL COMPLIANCE MONEY LAUN SEC RULES ME SMALL FUNDS TRANSFER AGE RE: TREASURY SUB VERIFICATION On October 22, 2 addressing issues relate foreign nationals who o by Section 326(b) of the In the report, Tr financial institutions’ ab a result, the report state...

URGENT/ACTION REQUESTED [15300] October 25, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 93-02 INTERNATIONAL COMMITTEE No. 76-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 46-02 MONEY LAUNDERING RULES WORKING GROUP No. 60-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 87-02 TRANSFER...

[15292] October 23, 2002 TO: ADVERTISING COMPLIANCE ADVISORY COMMITTEE No. 20-02 COMPLIANCE ADVISORY COMMITTEE No. 92-02 INVESTMENT ADVISERS COMMITTEE No. 23-02 SEC RULES COMMITTEE No. 86-02 RE: SEC SANCTIONS A FUND AND ITS ADVISER FOR STALE FUND PERFORMANCE INFORMATION ON THE FUND’S...

URGENT/ACTION REQUESTED [15285] October 21, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 91-02 INTERNATIONAL COMMITTEE No. 75-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 45-02 MONEY LAUNDERING RULES WORKING GROUP No. 59-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 85-02 TRANSFER...

[15275] October 18, 2002 TO: SEC RULES MEMBERS No. 90-02 INVESTMENT ADVISER MEMBERS No. 43-02 COMPLIANCE ADVISORY COMMITTEE No. 90-02 RE: INSTITUTE COMMENT LETTER ON PROPOSED AIMR RESEARCH OBJECTIVITY STANDARDS The Association for Investment Management and Research (“AIMR”) recently...

[15263] October 15, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 42-02 COMPLIANCE ADVISORY COMMITTEE No. 88-02 MONEY LAUNDERING RULES WORKING GROUP No. 58-02 SEC RULES MEMBERS No. 88-02 SMALL FUNDS MEMBERS No. 42-02 RE: TREASURY DEPARTMENT GUIDANCE ON COMPLIANCE WITH SECTION 326 OF...