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 Fund: Operations Are Evolving to Meet Changing Needs
Aug 25, 2017
- Focus on Funds: Fund Industry Is Swiftly Changing
Jun 16, 2017
- Operational Process Flows and Considerations Related to Dealer/Custodian Resignations in Response to the Fiduciary Rule (pdf)
Oct 25, 2016
- The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
Aug 19, 2016
DTCC
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 ItSep 6, 2016
