Home Industry Operations Operations, Transfer Agent Servicing, and Recordkeeping
This page provides resources to help funds deliver products and services to investors as efficiently and effectively as possible, and to respond to regulatory and compliance challenges on a timely basis. It includes memos, comment letters, publications, and other resources about mutual fund transfer agency operational practices and procedures, shareholder recordkeeping and servicing, and intermediary oversight and servicing issues.
Abandoned Property and Escheatment
Anti-Money Laundering and Customer Due Diligence
Electronic Communications and Recordkeeping
- ICI Letter to Senate Leadership on E-Delivery Amendment (pdf)
Mon Apr 24 00:00:00 EDT 2017
- ICI Submits Comment Letter to SEC on NYSE Proposed Amendment to Fees for Shareholder Report Delivery (pdf)
Mon Sep 12 00:00:00 EDT 2016
- ICI Files Letter with SEC Recommending SEC Disapprove FINRA's Proposed Consolidated Supervisory Rules (pdf)
Thu Oct 17 00:00:00 EDT 2013
FATCA
Identity Theft, Red Flag Rules, and Privacy
- ICI Files Comment Letter with Department of Commerce Discussing Importance of Mutual Funds' Access to the Death Master File (pdf)
Mon Mar 31 00:00:00 EDT 2014
- ICI Files Comment Letter with SEC on FINRA's Proposed Consolidated Supervisory Rules (pdf)
Mon Jul 29 00:00:00 EDT 2013
- ICI Letter on CFTC's Proposal to Enhance Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations (pdf)
Mon Jan 14 00:00:00 EST 2013
Intermediary Oversight
- Evaluating Swing Pricing: Operational Considerations (pdf)
Wed Nov 30 00:00:00 EST 2016
- Operational Process Flows and Considerations Related to Dealer/Custodian Resignations in Response to the Fiduciary Rule (pdf)
Tue Oct 25 00:00:00 EDT 2016
- Know Your Distributor Questionnaire (docx)
Tue Sep 20 00:00:00 EDT 2016
- DOL Fiduciary Duty Rule Resource Center
Money Market Funds
- Money Market Fund Resource Center
- ICI Global Letter to Basel Committee on Step-In Risk (pdf)
Mon May 15 00:00:00 EDT 2017
- ICI Files Comment Letter on Federal Reserve Bank of Minneapolis Proposed "Shadow Bank" Tax on Regulated Funds (pdf)
Tue Jan 17 00:00:00 EST 2017
- ICI Files Comment Letter with FDIC on Proposal on Stays in Qualified Financial Contracts of Certain FDIC-Regulated Banks (pdf)
Fri Dec 09 00:00:00 EST 2016
- ICI Files Comment Letter with OCC on Proposal Regarding Stays in Qualified Financial Contracts of Certain OCC-Regulated Banks (pdf)
Tue Oct 18 00:00:00 EDT 2016
Retirement Plans
