Distribution and Settlement
This page offers resources to help ICI members achieve operational efficiencies, develop best practices, and manage the operational impacts of regulatory initiatives.
Distribution
ICI Comment Letter on Proposed Amendments to FINRA Rule 2210
Last month, FINRA filed with the SEC proposed amendments to Rule 2210 (Communications with the...
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...
DTCC
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
European T+1 Industry Task Force comments on recent UK report on moving to T+1 & outlines its next steps
The European T+1 Industry Task Force welcomes the recent publication of a report by the Chair of the...
ICI Global Commends UK Report on Move to T+1
April 9, 2024—Michael Pedroni, Head of ICI Global, released a statement on the United Kingdom (UK)...