Transfer Agent Advisory Content

URGENT/ACTION REQUESTED [14927] July 17, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 19-02 COMPLIANCE ADVISORY COMMITTEE No. 50-02 INTERNATIONAL COMMITTEE No. 54-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 28-02 MONEY LAUNDERING RULES WORKING GROUP No. 37-02 PRIMARY CONTACTS...

[14922] July 15, 2002 TO: MONEY LAUNDERING RULES WORKING GROUP No. 36-02 TRANSFER AGENT ADVISORY COMMITTEE No. 57-02 RE: ANTI-MONEY LAUNDERING MEETING ON WEDNESDAY, JULY 17, 2002 As you know, the Transfer Agent Advisory Committee and the Money Laundering Rules Working Group will be...

[14920] July 12, 2002 TO: ACCOUNTING/TREASURERS COMMITTEE No. 33-02 INTERNATIONAL COMMITTEE No. 53-02 TASK FORCE ON ADVISER/DISTRIBUTOR TAX ISSUES TAX MEMBERS No. 29-02 TRANSFER AGENT ADVISORY COMMITTEE No. 56-02 UNIT INVESTMENT TRUST COMMITTEE No. 18-02 RE: IRS AND TREASURY RELEASE...

[14895] July 11, 2002 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 52-02 RE: 2002 QUALIFIED PLAN SURVEY The Transfer Agent Advisory Committee established a task force, chaired by Mary Corcoran of AIM Fund Services, who developed the attached 2002 Qualified Plan Survey. This survey is...

[14909] July 11, 2002 TO: TRANSFER AGENT ADVISORY COMMITTEE No. 55-02 RE: SUMMARY OF APRIL 16-17, 2002 MEETING Attached is a summary of the Transfer Agent Advisory Committee meeting held on April 16th and 17th, 2002 at the Institute in Washington, DC. Please contact me at 202/326-5930...

[14908] July 11, 2002 TO: ACCOUNTING/TREASURERS MEMBERS No. 17-02 CLOSED-END INVESTMENT COMPANY MEMBERS No. 24-02 COMPLIANCE ADVISORY COMMITTEE No. 49-02 EQUITY MARKETS ADVISORY COMMITTEE No. 15-02 INTERNATIONAL MEMBERS No. 18-02 INVESTMENT ADVISER MEMBERS No. 27-02 OPERATIONS MEMBERS...

[14893] July 10, 2002 TO: OPERATIONS COMMITTEE No. 10-02 TRANSFER AGENT ADVISORY COMMITTEE No. 51-02 RE: ICI TRANSFER AGENT ADVISORY COMMITTEE 2002 MUTUAL FUND COMPLEX INTERNET WEBSITE SURVEY RESULTS Last year, the Transfer Agent Advisory Committee established a task force to update...

[14885] July 9, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 18-02 TAX MEMBERS No. 28-02 TRANSFER AGENT ADVISORY COMMITTEE No. 50-02 RE: IRS ISSUES PROPOSED GUIDANCE ON BACKUP WITHHOLDING AFTER MULTIPLE NOTICES OF INCORRECT PAYEE “TINS” The Internal Revenue Service (“IRS”) has issued...

URGENT/ACTION REQUESTED [14879] July 8, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 17-02 COMPLIANCE ADVISORY COMMITTEE No. 48-02 INTERNATIONAL COMMITTEE No. 51-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 27-02 MONEY LAUNDERING RULES WORKING GROUP No. 35-02 PRIMARY CONTACTS -...

[14853] July 2, 2002 TO: BROKER/DEALER ADVISORY COMMITTEE No. 16-02 BROKER/DEALER ASSOCIATE MEMBERS No. 7-02 COMPLIANCE ADVISORY COMMITTEE No. 46-02 INTERNATIONAL MEMBERS No. 16-02 INTERNATIONAL OPERATIONS ADVISORY COMMITTEE No. 26-02 MONEY LAUNDERING RULES WORKING GROUP No. 33-02 SEC...