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 Industry Is Swiftly Changing
Fri Jun 16 00:00:00 EDT 2017
- Operational Process Flows and Considerations Related to Dealer/Custodian Resignations in Response to the Fiduciary Rule (pdf)
Tue Oct 25 00:00:00 EDT 2016
- The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
Fri Aug 19 00:00:00 EDT 2016
DTCC
- Focus on Funds: ICI Expands Its Service to the Industry’s “Middle Office”
Fri Sep 02 00:00:00 EDT 2016
- ICI Endorses Move to Shorten Settlement Cycles
Tue Feb 18 00:00:00 EST 2014
- An Operations Issue to Watch: Shortening the Settlement CycleNov 15, 2012
- Update: Effects of Hurricane Sandy on Fund Pricing and Operations
Mon Oct 29 00:00:00 EDT 2012
Fund Clearance and Settlement
- ICI Submits Comment Letter on SEC's Amendment to Securities Transaction Settlement Cycle Proposal (pdf)
Mon Dec 05 00:00:00 EST 2016
- IDC Files Comment Letter Supporting Move to T+2 Settlement Cycle (pdf)
Mon Dec 05 00:00:00 EST 2016
- Evaluating Swing Pricing: Operational Considerations (pdf)
Wed Nov 30 00:00:00 EST 2016
- ICI Welcomes SEC Proposal for T+2 Settlement Implementation
Wed Sep 28 00:00:00 EDT 2016
- US T+2 Is Coming—and Bringing Many Benefits with ItSep 6, 2016
