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Links to Resources
- Financial Intermediary Controls and Compliance Assessment Matrix (pdf) Nov 8, 2012
- FICCA Engagements Assist Funds' Review of Intermediary’s Internal Controls Nov 8, 2012
- Financial Intermediary Controls and Compliance Assessment (pdf) Nov 8, 2012
- Update: Effects of Hurricane Sandy on Fund Pricing and Operations Oct 29, 2012
- DTCC Wealth Management Services for Mutual Funds
- Model FATCA Intergovernmental Agreement ("IGA") Released Jul 26, 2012
- Operational Impacts of Proposed Redemption Restrictions on Money Market Funds (pdf) Jun 20, 2012
- ICI Comment Letter on FinCEN's Advance Notice of Proposed Rulemaking on Possible Customer Due Diligence Obligation for Financial Institutions (pdf) May 4, 2012
- SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume I (pdf) Dec 14, 2011
- SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume II (pdf) Dec 14, 2011
- Navigating Intermediary Relationships (pdf) Sep 30, 2009
- Report of the Working Group on Rule 12b-1 (pdf) May 30, 2007
