Intermediary Oversight
Intermediary Oversight
Navigating Intermediary Relationships (pdf)
ICI Comment Letter to SEC on Outsourcing by Investment Advisers Proposal (pdf)
Financial Intermediary Controls and Compliance Assessment Engagements (pdf)
Evaluating Swing Pricing: Operational Considerations (pdf)
The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)
ICI Submits Comment Letter in Response to FINRA's Rule 2210 BrokerCheck Proposal (pdf)
ICI Files Comment Letter on FINRA Review of Its Non-Cash Compensation Rule (pdf)
ICI Releases Updated Framework for Fund Industry Intermediary Oversight
ICI Releases Updated Framework for Fund Industry Intermediary Oversight Washington, DC, January 24...