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  • Fund Accounting, Financial Reporting, and Valuation
  • Fund Distribution, Fund Clearance, and Settlement
  • Operations, Transfer Agent Servicing, and Recordkeeping
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Home Industry Operations Fund Distribution, Fund Clearance, and Settlement

This page offers resources to help ICI members achieve operational efficiencies, develop best practices, and manage the operational impacts of regulatory initiatives. Resources include ICI memos, comment letters, publications, and links related to the distribution, processing, settlement, servicing, and support of open-end investment companies and other securities.

Distribution
  • Focus on Funds: Old Approaches to Fund Distribution Give Way to New Strategies
    Aug 16, 2019
  • Operational Process Flows and Considerations Related to Dealer/Custodian Resignations (pdf)
    Feb 26, 2019
  • Focus on Funds Fund: Operations Are Evolving to Meet Changing Needs
    Aug 25, 2017
  • Focus on Funds: Fund Industry Is Swiftly Changing
    Jun 16, 2017

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DTCC
  • Mutual Fund Operations Planning Guide for an Unexpected Market Close (pdf)
    Mar 20, 2019
  • Focus on Funds: ICI Expands Its Service to the Industry’s “Middle Office”
    Sep 2, 2016
  • ICI Endorses Move to Shorten Settlement Cycles
    Feb 18, 2014
  • An Operations Issue to Watch: Shortening the Settlement Cycle
    Nov 15, 2012
  • Update: Effects of Hurricane Sandy on Fund Pricing and Operations
    Oct 29, 2012

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Fund Clearance and Settlement
  • ICI Submits Comment Letter on SEC's Amendment to Securities Transaction Settlement Cycle Proposal (pdf)
    Dec 5, 2016
  • IDC Files Comment Letter Supporting Move to T+2 Settlement Cycle (pdf)
    Dec 5, 2016
  • Evaluating Swing Pricing: Operational Considerations (pdf)
    Nov 30, 2016
  • ICI Welcomes SEC Proposal for T+2 Settlement Implementation
    Sep 28, 2016
  • US T+2 Is Coming—and Bringing Many Benefits with It
    Sep 6, 2016

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