Compliance Advisory Content

[14064] October 18, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 50-01 INVESTMENT ADVISER MEMBERS No. 26-01 SEC RULES MEMBERS No. 69-01 RE: SEC SANCTIONS INVESTMENT ADVISERS FOR SECURITIES LAW VIOLATIONS The Securities and Exchange Commission, in a recent administrative proceeding...

[14052] October 15, 2001 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 15-01 COMPLIANCE ADVISORY COMMITTEE No. 49-01 OPERATIONS COMMITTEE No. 31-01 PRIVACY ISSUES WORKING GROUP No. 2-01 SEC RULES COMMITTEE No. 82-01 SMALL FUNDS COMMITTEE No. 16-01 TECHNOLOGY ADVISORY COMMITTEE No...

URGENT [14048] October 12, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 48-01 INTERNATIONAL COMMITTEE No. 55-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 10-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 77-01 TRANSFER AGENT ADVISORY COMMITTEE No. 81-01 RE: OFAC ADDS 39 NAMES TO LIST OF...

[14035] October 10, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 29-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 32-01 COMPLIANCE ADVISORY COMMITTEE No. 47-01 EQUITY MARKETS ADVISORY COMMITTEE No. 36-01 INTERNATIONAL MEMBERS No. 19-01 INVESTMENT ADVISER MEMBERS No. 25-01 OPERATIONS...

URGENT [14028] October 5, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 46-01 INTERNATIONAL COMMITTEE No. 54-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 8-01 TRANSFER AGENT ADVISORY COMMITTEE No. 75-01 RE: OFAC UPDATES ANTI-TERRORISM SANCTIONS Today, the Office of Foreign Assets...

[14013] October 4, 2001 TO: BOARD OF GOVERNORS No. 51-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 74-01 SEC RULES MEMBERS No. 67-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 31-01 COMPLIANCE ADVISORY COMMITTEE No. 45-01 ACCOUNTING/TREASURERS MEMBERS No. 28-01 DIRECTOR SERVICES COMMITTEE...

[14022] October 4, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 44-01 INTERNATIONAL COMMITTEE No. 53-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 7-01 TRANSFER AGENT ADVISORY COMMITTEE No. 73-01 RE: OFAC AMENDS YUGOSLAV REGULATIONS Yesterday, the Office of Foreign Assets Control...

URGENT [13999] October 1, 2001 TO: BANK AND TRUST ADVISORY COMMITTEE No. 20-01 BROKER/DEALER ASSOCIATE MEMBERS No. 8-01 COMPLIANCE ADVISORY COMMITTEE No. 43-01 INTERNATIONAL MEMBERS No. 18-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 72-01 SEC RULES MEMBERS No. 66-01 TRANSFER AGENT...

URGENT [13982] September 27, 2001 TO: BANK AND TRUST ADVISORY COMMITTEE No. 19-01 BROKER/DEALER ASSOCIATE MEMBERS No. 7-01 COMPLIANCE ADVISORY COMMITTEE No. 42-01 INTERNATIONAL MEMBERS No. 17-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 71-01 SEC RULES MEMBERS No. 65-01 TRANSFER AGENT...