ICI - Compliance

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
IDC Comment Letter on SEC's Proposal To Permit General Solicitation and General Advertising By Privately Offered Funds (pdf) Oct 5, 2012
ICI Comments on Proposed Rules to Implement the JOBS Act (pdf) Oct 5, 2012
ICI's Comment Letter on SEC Regulatory Initiatives Under Title II of the JOBS Act (pdf) Aug 17, 2012
ICI Comment Letter on SEC's Statement on Sequencing of Compliance Dates for Final Rules for Security-Based Swaps (pdf) Aug 13, 2012
ICI Letter to SEC on FINRA Fees for Review of Advertising Material (pdf) Jul 19, 2012
ICI Submits Advance Comments on JOBS Act Rulemaking (pdf) May 22, 2012
ICI Files Comment Letter with SEC on Proposed "Red Flag" Identity Theft Rules (pdf) May 1, 2012
ICI Opposes MFA Rulemaking Petition on Hedge Fund Advertising (pdf) Feb 7, 2012
SEC Pay-to-Play Rule - Supplemental Implementation Guidance to Reflect No-Action Relief Granted to ICI (pdf) Dec 16, 2011
SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume I (pdf) Dec 14, 2011
IDC and ICI Oppose Mandatory Audit Firm Rotation (pdf) Dec 14, 2011
SEC Valuation and Liquidity Guidance for Registered Investment Companies: Volume II (pdf) Dec 14, 2011
Institute Comment Letter on FINRA's Proposed Amendments to Advertising Rules (pdf) Dec 7, 2011
ICI Submits Comment Letter on SEC's Concept Release on Funds' Use of Derivatives (pdf) Nov 7, 2011
ICI Letter on the FATF Consultation on Review of the Standards (Second Public Consultation) (pdf) Sep 16, 2011
ICI Comment Letter on Proposed Rules on Incentive-Based Compensation Arrangements (pdf) May 31, 2011
ICI Files Comment Letter On CFTC Proposed Whistleblower Rules (pdf) Feb 4, 2011
Comment Letter on Consultation Paper of the Financial Action Task Force (pdf) Jan 7, 2011
ICI Files Comment Letter on SEC Proposed Whistleblower Rules (pdf) Dec 17, 2010
Joint Industry Association Letter on AML Programs and Beneficial Ownership Information (pdf) Jun 9, 2010
Comment Letter: ICI Requests a Five-Month Extension of the Compliance Date for Regulation S-AM (pdf) Sep 8, 2009
ICI Comment Letter to FinCEN on the Proposal to Define Mutual Funds as Financial Institutions, Subjecting Mutual Funds to CTR Filings and the Travel Rule Sep 3, 2009
Background: ICI Releases SEC Valuation and Liquidity Guidance for Registered Investment Companies Jul 9, 2009
New Restriction on Short Sales Are Unnecessary, ICI Tells SEC Jun 24, 2009
ICI Comments on FINRA Proposal to Require Members to Send Account Statements Monthly Rather Than Quarterly Jun 10, 2009
ICI Comment Letter on FinCEN's Proposed Rules and Guidance on Suspicious Activity Reporting (pdf) Jun 8, 2009
ICI Comment Letter on FINRA Notice to Members on Reporting of Personal Securities Transactions Jun 4, 2009
ICI Comment Letter to Treasury and IRS on Mandatory Cost Basis Reporting Apr 9, 2009
ICI Comment Letter on NYSE Proposal Regarding Broker Voting On Elections of Directors and Investment Advisory Contracts Mar 27, 2009
ICI Comment Letter on SEC Proposed Amendments to NRSRO Rules (pdf) Mar 26, 2009
ICI Comment Letter on IASB Consolidation Proposal Mar 23, 2009
ICI Comment Letter on DOL Investment Advice Final Rule Mar 6, 2009
Financial Services Regulatory Reform: Discussion and Recommendations (pdf) Mar 2, 2009
Institute President's Submission to SEC Chairman Schapiro Feb 18, 2009
Institute Comments On FINRA Proposed Self-Reporting Rule (pdf) Jan 15, 2009
ICI Comment Letter on SEC's ETF Rule Proposal (pdf) May 19, 2008
ICI Comments on Labor Department's Investment Advice Initiative, December 2007 Dec 14, 2007
Chief Risk Officers in the Mutual Fund Industry: Who Are They and What Is Their Role Within the Organization? (pdf) Aug 7, 2007
ICI Comment Letter on the European Commission's Third Consultation on Shareholders' Voting Rights (pdf) Jul 27, 2007
ICI Comment Letter on Rule 12b-1 (pdf) Jul 19, 2007
Comment Letter on Economic Papers Relating to Fund Governance (pdf) Mar 2, 2007
IRS Issues Electronic Communications Regulations, November 2006 Nov 7, 2006
ICI Comment Letter on Proposed Canadian Soft Dollar Regulations (pdf) Oct 19, 2006
Institute Letter on IOSCO's Report on the Role of Independent Oversight in Fund Governance (pdf) Oct 12, 2006
SEC Overhauls Executive Compensation Disclosure Rules, August 2006 Aug 29, 2006
ICI Letter on Compliance Tool for 401(k) Sponsors (pdf) Jul 31, 2006
ICI Comments on NYSE Proposal to Require Listed Companies to Make Annual Reports Available Online (pdf) Jul 20, 2006
ICI Comments on NASD's Deferred Variable Annuity Proposal (pdf) Jul 19, 2006
Letter Supporting Legislation Concerning Credit Rating Agencies (pdf) Jun 13, 2006
GMM Coverage: NASD Chairman Cites Need for Streamlined Regulation (video) May 18, 2006
Labor Department Issues Final Regulations on Orphaned Retirement Plans, May 2006 May 4, 2006
Treasury Issues Guidance on Anti-Money Laundering Rule, March 2006 Mar 8, 2006
ICI Comments on Proposed AML Rule on "Enhanced Due Diligence" for Certain Types of Foreign Banks (pdf) Mar 6, 2006
Institute Letter on NASD Proposal Relating to Business Entertainment Expenses (pdf) Feb 23, 2006
ICI Comment Letter on SEC Proposal Regarding Internet Availability of Proxy Materials (pdf) Feb 13, 2006
ICI Letter to Treasury on Anti-Money Laundering Rule (pdf) Feb 3, 2006
ICI's, Financial Industry Associations' Comment Letter on Labor Department Proposal (pdf) Jan 26, 2006
ICI Comment Letter on U.K. Soft Dollar Proposal (pdf) Jan 5, 2006
ICI Provides Guidance for Fund Compliance Officers in Meeting SEC's Review and Reporting Requirements, December 2005 Dec 15, 2005
Assessing the Adequacy and Effectiveness of a Fund's Compliance Policies and Procedures (pdf) Dec 15, 2005
ICI Letter in Support of Financial Data Protection Legislation, November 2005 Oct 28, 2005
World's Investment Groups' Final Communique, October 2005 Oct 24, 2005
SEC Seeks Comment on Proposed Soft Dollar Guidance, October 2005 Oct 24, 2005
ICI Comment Letter on Public Utility Legislation Requirements, October 2005 Oct 21, 2005
ICI Letter on on Exemption for SEC-Registered Funds and Advisers Under the New Public Utility Holding Company Act (pdf) Oct 14, 2005
U.K. Regulator Proposes Soft Dollar Rules, October 2005 Oct 11, 2005
ICI Comment Letter on NASD's Deferred Variable Annuity Proposal, September 2005 Sep 21, 2005
ICI Comment Letter on NASD's Deferred Variable Annuity Proposal (pdf) Sep 19, 2005
ICI Comments on Labor Department Efforts to Encourage Automatic Enrollment in Defined Contribution Plans (pdf) Sep 7, 2005
Comment Letter in Support of NASD Proposal to Require Principal Pre-Use Approval of Retail Correspondence, June 2005 Jun 1, 2005
Comment Letter in Support of NASD Proposal to Require Principal Pre-Use Approval of Retail Correspondence (pdf) May 27, 2005
ICI Comments on NASD Fund Advertisement Review Proposal (pdf) May 20, 2005
ICI Comments on NASD Fund Advertisement Review Proposal, May 2005 May 20, 2005
ICI Comments on Mandatory Redemption Fees for Redeemable Securities (pdf) May 9, 2005
ICI Comments on Mandatory Redemption Fees for Redeemable Securities, May 2005 May 9, 2005
ICI Supports SEC Adoption of Trade-Through Rule, April 2005 Apr 6, 2005
ICI President Issues Statement on SEC's Adoption of Measure Aimed at Abusive Trading, March 2005 Mar 3, 2005
ICI Supports SEC Proposed Trade-Through Rule, January 2005 Jan 27, 2005
ICI's Comments to MSRB, SEC on 529 Plan Ad Rules (pdf) Jan 19, 2005
ICI's Comments to SEC on 529 Plan Ad Rules, January 2005 Jan 19, 2005
ICI's Comments to MSRB on 529 Plan Ad Rules, January 2005 Jan 19, 2005
ICI Comments on NASD Proposal to Prohibit Directed Brokerage Practices (pdf) Nov 24, 2004
Comment Letter on MSRB Non-Cash Compensation Proposal, July 2004 Jul 22, 2004
ICI Record in Addressing Abusive Short-Term Trading by Suspected Market Timers, March 2004 Mar 22, 2004
SEC Initiatives Affecting Mutual Funds by Date Mar 18, 2004
SEC Initiatives Affecting Mutual Funds by Topic Mar 18, 2004
ICI Comments on Proposed Investment Adviser Codes of Ethics (pdf) Mar 15, 2004
ICI Comments on SEC Fund Pricing Proposal (pdf) Feb 5, 2004
ICI Comments on New Chief Compliance Officer Rule (pdf) Feb 5, 2004
ICI Chairman, President Send Open Letter to Congress Concerning Trading Abuses, January 2004 Jan 29, 2004
ICI Letter on NASD Fund Performance Advertising Proposal (pdf) Jan 23, 2004
SEC Adopts New Compliance Rules, December 2003 Dec 17, 2003
House Approves Mutual Fund Legislation, November 2003 Nov 21, 2003
New Mutual Fund Legislation Proposed, November 2003 Nov 10, 2003
Comment Letter on Nasdaq Proposed Code of Conduct, July 2003 Jul 30, 2003
ICI Letter Supporting Adviser Anti-Money Laundering Program Requirement (pdf) Jul 7, 2003
NASD Publishes Final Rules Governing Communications with the Public, July 2003 Jul 7, 2003
ICI Comments on Customer Identification Program (pdf) Jun 24, 2003
ICI Supports Final Customer Identification Program Requirements, May 2003 May 2, 2003
Letter Supporting Proposal to Provide Investors with Investment Analysis Tool (pdf) Apr 24, 2003
Comment Letter on Measures to Improve Compliance with Securities Laws (pdf) Apr 17, 2003
New Legislation Would Establish Nationwide Customer Information Sharing Standard, April 2003 Apr 11, 2003
NASD Requires Members to Assess Procedures for Providing Breakpoint Discounts, March 2003 Mar 27, 2003
Comment Letter on Efforts to Combat Money Laundering Activity (pdf) Mar 21, 2003
ICI Participates in NASD Breakpoint Task Force, February 2003 Feb 23, 2003
Major Federal Statutes Governing Investment Companies, December 2002 Dec 6, 2002
Comment Letter on Anti-Money Laundering Programs for Unregistered Funds (pdf) Nov 22, 2002
Treasury Extends Deadline for Customer Identification Program Requirements, October 2002 Oct 15, 2002
Customer Identification Program Proposed for Mutual Funds, July 2002 Jul 18, 2002
IOSCO Examines Funds' Cross-Border Performance Disclosure Standards, July 2002 Jul 17, 2002
Broker-Dealers to Report Suspicious Transactions, July 2002 Jul 2, 2002
SEC Proposes Amendments to Fund Advertising Rules, May 2002 May 21, 2002
Treasury to Study Financial Institutions' Information Sharing Practices, March 2002 Mar 14, 2002
Anti-Money Laundering Proposal Would Involve Information Sharing, March 2002 Mar 5, 2002
NASD Proposes Standards for Anti-Money Laundering Compliance Programs, February 2002 Feb 28, 2002
Treasury Proposes Rules to Implement PATRIOT Act, January 2002 Jan 8, 2002
SEC Seeks Comment on Amendments to NASD Communication Rules, January 2002 Jan 4, 2002
SEC Issues Interpretive Guidance on Soft-Dollar Practices, January 2002 Jan 4, 2002
DOL Concludes That Firm's Asset Allocation Advice Program Does Not Violate ERISA, December 2001 Dec 27, 2001
Background: SEC Proposes Amendments to Rules Governing Funds' Use of Securities Depositories Nov 26, 2001
SEC Proposes Amendments to Rules Governing Funds' Use of Securities Depositories, November 2001 Nov 26, 2001
SEC Adopts Revisions to Broker-Dealer Recordkeeping Requirements, November 2001 Nov 20, 2001
Anti-Terrorism Legislation Includes Provisions to Combat Money Laundering, October 2001 Oct 26, 2001
OFAC Adds Names to List of Specially Designated Global Terrorists, October 2001 Oct 12, 2001
Agency Provides New Information Concerning Terrorist Financial Connections, October 2001 Oct 3, 2001
Federal Regulators to Host Workshop on Privacy Policies, October 2001 Oct 2, 2001
September 11 Attack Draws Labor Department Exemption Oct 1, 2001
SEC Urges Industry to Check Records for Connections to Terrorist Attacks, September 2001 Sep 27, 2001
SEC Extends Compliance Date for After-Tax Disclosure Rules, September 2001 Sep 25, 2001
Executive Order Prohibits Transactions With 27 Persons, Entities, September 2001 Sep 24, 2001
SEC Extends Investment Company Exemptive Relief Five Days, September 2001 Sep 21, 2001
SEC Order Provides Temporary Investment Company Act Relief, September 2001 Sep 14, 2001
SEC Extends Comment, Compliance Deadlines for Gramm-Leach-Bliley Act, July 2001 Jul 21, 2001
Legislators, Regulators Act on E-SIGN Issues, July 2001 Jul 20, 2001
NASDR Proposes Additional Disclosures for Securities Recommendations, July 2001 Jul 12, 2001
NASDR Issues Guidance on Suitability Rule for Online Communications, March 2001 Mar 27, 2001
Regulators Request Comment on E-SIGN Consumer Consent Requirement, February 2001 Feb 14, 2001
SEC Adopts Mutual Fund After-Tax Return Disclosure Rules, January 2001 Jan 24, 2001
Regulators Issue Anti-Money Laundering Guidance, January 2001 Jan 19, 2001
Regulators Issue Anti-Money Laundering Guidance, January 2001 Jan 19, 2001
SEC Adopts Fund "Name Test" Rule, January 2001 Jan 18, 2001
SEC Requests Comment on Proposed Rules For Related Performance Information, November 2000 Nov 16, 2000
SEC Adopts Householding Rules Regarding Proxy and Information Statements, November 2000 Nov 8, 2000
SEC Staff Releases Regulation FD Guidance, October 2000 Oct 23, 2000
OMB Issues Guidance Concerning E-SIGN Legislation, October 2000 Oct 13, 2000
SEC Adopts Revisions to Form ADV and Mandates Electronic Filings in 2001, September 2000 Sep 14, 2000
SEC Adopts Selective Disclosure and Insider Trading Rules, August 2000 Aug 18, 2000
President Signs E-SIGN Legislation, July 2000 Jul 8, 2000
House and Senate Vote to Facilitate Electronic Transactions, June 2000 Jun 19, 2000
NASD Issues Notice Regarding Fund Performance Advertising, April 2000 Apr 13, 2000
SEC Proposes Disclosure of Mutual Fund After-Tax Returns, March 2000 Mar 21, 2000
House and Senate Pass Electronic Signatures Bills, November 1999 Nov 19, 1999
SEC Adopts Rule Permitting Householding of Disclosure Documents, November 1999 Nov 12, 1999
NASDR Requests Comment on Ad and Sales Literature Proposals, September 1999 Sep 10, 1999
SEC Adopts Amendments to Personal Investing Rule, August 1999 Aug 25, 1999
House Commerce Committee Reports Electronic Signatures Bill, August 1999 Aug 17, 1999
SEC Adopts Temporary Y2K Operational Capability Rules Aug 12, 1999
Year 2000 Tips Aug 1, 1999

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