Global Operations Advisory Committee Content

URGENT [14250] December 17, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 67-01 INTERNATIONAL COMMITTEE No. 66-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 21-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 94-01 TRANSFER AGENT ADVISORY COMMITTEE No. 105-01 RE: OFAC FREEZES ASSETS OF...

URGENT [14241] December 14, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 66-01 INTERNATIONAL COMMITTEE No. 65-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 20-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 93-01 TRANSFER AGENT ADVISORY COMMITTEE No. 104-01 RE: OFAC FREEZES ASSETS OF...

[14219] December 13, 2001 TO: BOARD OF GOVERNORS No. 62-01 BROKER/DEALER ADVISORY COMMITTEE No. 31-01 BROKER/DEALER ASSOCIATE MEMBERS No. 10-01 COMPLIANCE ADVISORY COMMITTEE No. 64-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 10-01 INTERNATIONAL MEMBERS No. 23-01 INTERNATIONAL OPERATIONS...

[14207] December 13, 2001 TO: INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 19-01 RE: NOTICE OF MEETING – FEBRUARY 6, 2002 The next meeting of the Institute’s International Operations Advisory Committee will take place on Wednesday, February 6, 2002 in the David Silver Conference...

URGENT [14203] December 4, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 62-01 INTERNATIONAL COMMITTEE No. 63-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 17-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 91-01 TRANSFER AGENT ADVISORY COMMITTEE No. 100-01 RE: OFAC FREEZES ASSETS OF THREE...

[14172] November 21, 2001 TO: BOARD OF GOVERNORS No. 59-01 BROKER/DEALER ADVISORY COMMITTEE No. 28-01 COMPLIANCE ADVISORY COMMITTEE No. 59-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 9-01 INTERNATIONAL MEMBERS No. 22-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 16-01 PRIMARY...

URGENT [14113] November 7, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 55-01 INTERNATIONAL COMMITTEE No. 59-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 15-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 82-01 TRANSFER AGENT ADVISORY COMMITTEE No. 90-01 RE: OFAC FREEZES ASSETS OF MORE...

[14105] November 2, 2001 TO: INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 14-01 RE: DTCC MUTUAL FUND OFFSHORE FUND/SERV CONCEPT PAPER The Institute’s Broker Dealer Advisory Committee Offshore Funds Processing Task Force has been investigating ways to automate the processing of...

[14100] October 31, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 52-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 7-01 INTERNATIONAL COMMITTEE No. 58-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 13-01 SEC RULES COMMITTEE No. 86-01 SMALL FUNDS COMMITTEE No. 17-01 TRANSFER AGENT ADVISORY...

[14085] October 26, 2001 TO: BOARD OF GOVERNORS No. 55-01 COMPLIANCE ADVISORY COMMITTEE No. 51-01 INTERNAL AUDIT ADVISORY COMMITTEE No. 6-01 INTERNATIONAL MEMBERS No. 20-01 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 12-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 79-01 SEC RULES...