Home Industry Operations Fund Distribution, Fund Clearance, and Settlement Distribution
- Focus on Funds: New Tool Eases Global Distribution Challenges
Aug 14, 2020
- Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
Aug 5, 2020
- Investment Funds Distributor Due Diligence Questionnaire
Jun 1, 2020
- 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
- The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
Aug 19, 2016
- Webinar: The Omnibus Environment—Operational and Oversight Considerations
Aug 12, 2014
- Industry Leaders Reflect on Serving Investors in an Evolving World
- ICI Submits Comment Letter on FINRA's Retrospective Review of Communications with the Public Rules (pdf)
May 23, 2014
- ICI Files Comment Letter on FINRA Review of Its Non-Cash Compensation Rule (pdf)
May 23, 2014
- ICI Endorses Move to Shorten Settlement Cycles
Feb 18, 2014
- Updated FICCA Framework Makes Auditing Omnibus Accounts Easier, More EfficientJan 27, 2014
- ICI Files Comment Letter with SEC on FINRA's Proposed Consolidated Supervisory Rules (pdf)
Jul 29, 2013
- Comment Letter to SEC in Response to RFI on Possible Fiduciary Duty for Broker-Dealers and IA-BD Harmonization (pdf)
Jul 3, 2013
- Navigating Intermediary Relationships (pdf)
Sep 30, 2009
- Report of the Working Group on Rule 12b-1 (pdf)
May 30, 2007
