Anti-Money Laundering and Customer Due Diligence
Anti-Money Laundering and Customer Due Diligence
ICI Comment Letter to FinCen Requesting a Delay to the Compliance Date for the AML/CFT Program
April 8, 2025—ICI submitted a letter to FinCEN to request a delay to the compliance date for the AML...
ICI Comment Letter on FinCEN Proposal to Modernize AML/CFT Program Requirements for Mutual Fund
September 3, 2024—ICI submitted its response to the Financial Crimes Enforcement Network proposed...
ICI Global Comment Letter to SEBI re FPI BO and SMO Requirements
The undersigned asset and fund management associations, on behalf of our respective members, would...
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)
November 3, 2020
Memo #32890
SEC's New Rule on Funds' Use of Derivatives: Summary of Fund Board Responsibilities
[32890] November 3, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Alternative Investments Compliance Derivatives Disclosure Exchange-Traded Funds (ETFs) Financial Stability Fund Governance Recordkeeping Risk Oversight RE: SEC's New Rule on Funds'...
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...