Home Operations Fund Distribution, Clearance & Settlement
Links to Resources
- Financial Intermediary Controls and Compliance Assessment Matrix (pdf) Thu Nov 08 00:00:00 EST 2012
- FICCA Engagements Assist Funds' Review of Intermediary’s Internal Controls Thu Nov 08 00:00:00 EST 2012
- Financial Intermediary Controls and Compliance Assessment (pdf) Thu Nov 08 00:00:00 EST 2012
- Update: Effects of Hurricane Sandy on Fund Pricing and Operations Mon Oct 29 00:00:00 EDT 2012
- DTCC Wealth Management Services for Mutual Funds
- Model FATCA Intergovernmental Agreement ("IGA") Released Thu Jul 26 00:00:00 EDT 2012
- Operational Impacts of Proposed Redemption Restrictions on Money Market Funds (pdf) Wed Jun 20 00:00:00 EDT 2012
- ICI Comment Letter on FinCEN's Advance Notice of Proposed Rulemaking on Possible Customer Due Diligence Obligation for Financial Institutions (pdf) Fri May 04 00:00:00 EDT 2012
- SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume I (pdf) Wed Dec 14 00:00:00 EST 2011
- SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume II (pdf) Wed Dec 14 00:00:00 EST 2011
- Navigating Intermediary Relationships (pdf) Wed Sep 30 00:00:00 EDT 2009
- Report of the Working Group on Rule 12b-1 (pdf) Wed May 30 00:00:00 EDT 2007
- ICI Comments on CESR's Role in Regulating UCITS, December 2003 Mon Dec 01 00:00:00 EST 2003
