Investment Funds Distributor Due Diligence Questionnaire (pdf)
Focus on Funds: New Tool Eases Global Distribution Challenges
Amid increasing regulatory pressures, funds and their distributors have a new, more efficient, and...
Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
Mutual Fund Operations Planning Guide for an Unexpected Market Close (pdf)
Focus on Funds: ICI Expands Its Service to the Industry’s “Middle Office”
Rapid change in the fund industry means that the operational support provided by what’s known as the...
ICI Endorses Move to Shorten Settlement Cycles
Initiative to Reduce Systemic, Operational Risks Could Benefit Investors Washington, DC, February 18...
Fund Clearance and Settlement
ICI Urges CFTC To Take Up Uncleared Margin Rulemakings
ICI President and CEO Eric Pan urged the CFTC to complete, without delay, its work to address the...