Global Operations Advisory Committee Content

URGENT [15469] December 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 50-02 BROKER/DEALER ASSOCIATE MEMBERS No. 15-02 COMPLIANCE ADVISORY COMMITTEE No. 114-02 INTERNATIONAL MEMBERS No. 32-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 61-02 MONEY LAUNDERING RULES WORKING GROUP...

[15470] December 19, 2002 TO: INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 62-02 RE: SUMMARY OF SEPTEMBER 18, 2002 MEETING Attached is the summary of the International Operations Advisory Committee meeting held on September 18, 2002 at the Institute in Washington, DC. Please...

[15435] December 9, 2002 TO: INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 60-02 RE: MEETING NOTICE -- FEBRUARY 6, 2003 IN ST. PETERSBURG, FLORIDA The next meeting of the Institute’s International Operations Advisory Committee will be held on Thursday, February 6, 2003 at Franklin...

URGENT/ACTION REQUESTED [15415] December 3, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 109-02 INTERNATIONAL COMMITTEE No. 84-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 59-02 MONEY LAUNDERING RULES WORKING GROUP No. 71-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 97-02 TRANSFER...

[15394] November 26, 2002 TO: INTERNATIONAL MEMBERS No. 31-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 58-02 RE: CHINA ADOPTS QFII REGIME; ALLOWS FOREIGN INVESTORS TO PARTICIPATE IN DOMESTIC A-SHARE MARKET The China Securities Regulatory Commission (CSRC) recently adopted a...

ACTION REQUESTED [15395] November 26, 2002 TO: INTERNATIONAL COMMITTEE No. 83-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 57-02 RE: INPUT SOUGHT ON INDIA’S FII REGIME As you know, a foreign company must register as a Foreign Institutional Investor (FII) with the Securities...

[15384] November 22, 2002 TO: INTERNATIONAL MEMBERS No. 30-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 55-02 MONEY LAUNDERING RULES WORKING GROUP No. 70-02 SEC RULES COMMITTEE No. 93-02 RE: ICI COMMENTS ON PROPOSED AML RULE FOR UNREGISTERED INVESTMENT COMPANIES In September...

URGENT/ACTION REQUESTED [15381] November 22, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 104-02 INTERNATIONAL COMMITTEE No. 81-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 54-02 MONEY LAUNDERING RULES WORKING GROUP No. 68-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 94-02 TRANSFER...

URGENT/ACTION REQUESTED [15364] November 19, 2002 TO: COMPLIANCE ADVISORY COMMITTEE No. 101-02 INTERNATIONAL COMMITTEE No. 80-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 52-02 MONEY LAUNDERING RULES WORKING GROUP No. 66-02 PRIMARY CONTACTS - MEMBER COMPLEX No. 92-02 TRANSFER...

[15365] November 19, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 46-02 BROKER/DEALER ASSOCIATE MEMBERS No. 13-02 COMPLIANCE ADVISORY COMMITTEE No. 102-02 CONTINUING EDUCATION AND TRAINING MEMBERS No. 13-02 HUMAN RESOURCES MEMBERS No. 12-02 INTERNAL AUDIT ADVISORY COMMITTEE No. 11-02...