Servicing and Recordkeeping

ICI Global Comment Letter to SEBI re FPI BO and SMO Requirements (pdf)

ICI Comment Letter on Pilot Program on Sharing of Suspicious Activity Reports and Related Information With Foreign Branches, Subsidiaries, and Affiliates (pdf)

ICI Comment Letter on Review of Bank Secrecy Act Regulations and Guidance (pdf)

ICI Comment Letter on Beneficial Ownership Information Reporting Requirements; Regulatory Identification (pdf)

Focus on Funds: Funds Step Up Fight Against Elder Abuse and Fraud

June 19, 2020—As the global coronavirus pandemic has made some fund investors more vulnerable to...

Focus on Funds: Elder Abuse and Exploitation a Growing Industry Concern

Focus on Funds Elder Abuse and Exploitation a Growing Industry Concern ICI is teaming up with...

ICI Comment Letter on FinCEN Customer Due Diligence Proposal (pdf)

ICI Global Comment Letter on Implementing Regulation Under MiFID II and MiFIR (pdf)

ICI Comments on Proposed Measures Relating to General Solicitation and Advertising for Private Funds (pdf)

ICI and ICI Global Submit Comment Letter on EU Clearing Obligation (pdf)

ICI Letter on CFTC's Proposal to Enhance Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations (pdf)

Application of NFA Rules to Registered Investment Companies Unable to Rely on CFTC Rule 4.5 and their Advisers (pdf)

ICI's Comment Letter on SEC Regulatory Initiatives Under Title II of the JOBS Act (pdf)

Written Testimony for House Hearing: The Impact of Dodd-Frank on Customers, Credit, and Job Creators (pdf)

ICI Submits Advance Comments on JOBS Act Rulemaking (pdf)