International Content

[13618] June 11, 2001 TO: INTERNATIONAL COMMITTEE No. 39-01 RE: CREATION OF EUROPEAN SECURITIES COMMITTEE AND COMMITTEE OF EUROPEAN SECURITIES REGULATORS On June 6, 2001, the European Commission adopted two Decisions that created a European Securities Committee (ESC) and a Committee...

[13575] June 4, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 23-01 INTERNATIONAL COMMITTEE No. 38-01 OPERATIONS COMMITTEE No. 19-01 TRANSFER AGENT ADVISORY COMMITTEE No. 41-01 RE: TREASURY DEPARTMENT ADDS INDIVIDUALS AND BUSINESSES TO ITS LIST OF "SPECIALLY DESIGNATED NARCOTICS...

[13556] May 30, 2001 TO: INTERNATIONAL COMMITTEE No. 37-01 RE: ICI COMMENT LETTERS ON PROPOSED CAPITAL ADEQUACY STANDARDS On January 16, 2001, the Basel Committee on Banking Supervision undertook a second round of consultations on a revised capital adequacy framework for banks...

[13505] May 16, 2001 TO: ACCOUNTING/TREASURERS MEMBERS No. 11-01 CLOSED-END INVESTMENT COMPANY MEMBERS No. 17-01 COMPLIANCE ADVISORY COMMITTEE No. 22-01 INTERNATIONAL COMMITTEE No. 36-01 OPERATIONS MEMBERS No. 11-01 PRIMARY CONTACTS - MEMBER COMPLEX No. 34-01 SEC RULES MEMBERS No. 43...

[13507] May 14, 2001 TO: COMPLIANCE ADVISORY COMMITTEE No. 20-01 INTERNATIONAL COMMITTEE No. 35-01 SEC RULES MEMBERS No. 40-01 TRANSFER AGENT ADVISORY COMMITTEE No. 34-01 RE: SEC STAFF REMARKS ON ANTI-MONEY LAUNDERING COMPLIANCE Lori Richards, Director of the SEC’s Office of...

[13482] May 4, 2001 TO: INTERNATIONAL COMMITTEE No. 34-01 RE: PRELIMINARY AGENDA FOR MAY 15TH INTERNATIONAL COMMITTEE MEETING Attached is a preliminary agenda for the International Committee meeting on Tuesday, May 15, 2001. The meeting will be held in the Institute’s David Silver...

[13467] May 1, 2001 TO: ACCOUNTING/TREASURERS COMMITTEE No. 12-01 INTERNATIONAL COMMITTEE No. 33-01 TASK FORCE ON ADVISER/DISTRIBUTOR TAX ISSUES TAX COMMITTEE No. 17-01 TRANSFER AGENT ADVISORY COMMITTEE No. 32-01 UNIT INVESTMENT TRUST COMMITTEE No. 15-01 RE: IRS AND TREASURY RELEASE...

[13443] April 25, 2001 TO: INTERNATIONAL COMMITTEE No. 32-01 RE: COMMISSION COMMUNICATION ON TAX OBSTACLES OF EU OCCUPATIONAL PENSIONS On April 19, 2001, the Commission released a communication to the Council of Ministers, the European Parliament, and the Economic and Social Committee...

[13424] April 17, 2001 TO: BROKER/DEALER ASSOCIATE MEMBERS No. 3-01 COMPLIANCE ADVISORY COMMITTEE No. 18-01 CONTINUING EDUCATION AND TRAINING ADVISORY COMMITTEE No. 2-01 DIRECT MARKETING COMMITTEE No. 5-01 HUMAN RESOURCES MEMBERS No. 2-01 INTERNATIONAL COMMITTEE No. 31-01 INVESTMENT...

[13414] April 16, 2001 TO: INTERNATIONAL COMMITTEE No. 30-01 RE: INSTITUTE LETTER REQUESTING AN EXEMPTION FROM UK’S BENEFICIAL OWNERSHIP REPORTING REQUIREMENTS Last year, the Institute had sought relief from the beneficial ownership disclosure requirements under UK law for members...