Subject: FW: Quarterly SEC disclosure regarding IRAN activity - Q3 2016
Dear All,
Can you please help to confirm whether you came across any transactions involving Iran as usual krub. Please note that the reporting period this time is for Q3 2016 (i.e. 1 July – 30 September 2016).
Please kindly let me know by tomorrow as we have to feedback the RO.
Sorry for a late notice.
Thanks & Regards,
Niti
From: LAGRIFFOUL Thomas
Sent: Tuesday, September 27, 2016 1:56 PM
To: WALID Robbi Yanuar; LOPEZ Jill Marie; IRENE CHENG May May; BARADHWAJ Cl; SIRICHIT Niti; ANG Chee Kiang; FOITHONG Peerapat; SARMA Ashish; DESTYANA Yudith; PERSIWI Maulani; KUMAR Kiran; PANICHAYANUSONT Orakitt; D'SOUZA Vinod; DIAZ-TESTON Kristine Joy; SUMARLINA Eriza
Cc: TONG Cindy; HUI Joyce
Subject: Quarterly SEC disclosure regarding IRAN activity - Q3 2016
Dear all –
As you know, it is time for Alliance Bernstein and AXA Equitable to make their quarterly disclosure to the SEC regarding business that the Group has with Iran. Please see attached for your information the final version of the 10K for Q2 2016.
We would, therefore be grateful if you could review the attached disclosure and determine whether there are any cases that were disclosed previously that can now be removed (i.e. because a policy has been cancelled) or if any new cases need to be added. As a result, would you please do the following:
• All addressees - Identify and inform us of any business activity involving Iran that has been accepted or identified from July 1st 2016 to September 30th 2016. This disclosure should cover the entire Q3 2016.
If there is any existing business activity that has only been discovered recently that should have been disclosed previously, it is imperative that those cases also be disclosed as part of this process. We do not anticipate that there are such cases, but we cannot eliminate the possibility.
PLEASE RESPOND TO ME WITH COPIES TO CINDY AND JOYCE BY the 6th OCTOBER, AT THE VERY LATEST (EARLIER IF POSSIBLE). IF YOUR ANSWER IS "NIL CASES" PLEASE CONFIRM THAT BY EMAIL TO US.
Please do not hesitate to contact Cindy and me if you have any questions or concerns. Please do not "reply all".
Regards,
Thomas