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Links to Resources
- ICI Letter on CFTC's Proposal to Enhance Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations (pdf) Jan 14, 2013
- 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
- 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
- ICI Files Comment Letter with SEC on Proposed "Red Flag" Identity Theft Rules (pdf) May 1, 2012
- ICI Submission on Proposed FATCA Regulations (pdf) Apr 30, 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
- ICI Written Statement to ERISA Advisory Council on Privacy and Security Issues (pdf) Sep 1, 2011
- ICI Files Comment Letter Supporting IRS TIN Masking Pilot Program (pdf) Jul 29, 2011
- Institute Comment Letter on 408(b)(2) and Participant Disclosure Extension (pdf) Jun 14, 2011
- ICI Comment Letter on FATCA and Notice 2011-34 (pdf) Jun 6, 2011
- ICI Files Comment Letter With SEC on Proposed "Missing Securityholder" Rules (pdf) May 9, 2011
- ICI Files Comment Letter with FINRA on FINRA's Disclosure Document Proposal (pdf) Dec 24, 2010
- ICI Comment Letter on BSA-SAR Database Proposed Data Fields (pdf) Dec 14, 2010
- ICI Files Comment Letter Supporting Revised FINRA Rule Relating To Settlement Dates on Confirmations (pdf) Oct 26, 2010
- Institute Comment Letter on DOL 408(b)(2) Service Provider Disclosure Interim Final Regulation (pdf) Aug 30, 2010
- ICI Letter to Treasury and IRS on Reporting Holding Period for Gifted Shares that Previously were Inherited (pdf) Jul 14, 2010
- Joint Industry Association Letter on AML Programs and Beneficial Ownership Information (pdf) Jun 9, 2010
- ICI Files Comment Letter Supporting IRS TIN-Masking Pilot Program (pdf) May 4, 2010
- ICI Files Comment Letter on FINRA Proposal to Require Settlement Dates on Confirmations Oct 9, 2009
- Navigating Intermediary Relationships (pdf) Sep 30, 2009
- Report of the Working Group on Rule 12b-1 (pdf) May 30, 2007
- ICI Supports Registration of Certain Third-Party Administrators Jan 4, 2006
- SEC Issues Guidance on Broker-Dealer Recordkeeping Under E-SIGN May 21, 2001
