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
- Indication of Death: Common Industry Practices (pdf)
Nov 13, 2017
Anti-Money Laundering and Customer Due Diligence
Electronic Communications and Recordkeeping
- Focus on Funds: Time to Bring Shareholder Report Delivery into the 21st Century
Apr 6, 2018
- Spending Bill Rider Will Trap Investors Under Piles of Paper
Feb 9, 2018
- ICI Letter to Senate Leadership on E-Delivery Amendment (pdf)
Apr 24, 2017
- ICI Submits Comment Letter to SEC on NYSE Proposed Amendment to Fees for Shareholder Report Delivery (pdf)
Sep 12, 2016
FATCA
Identity Theft, Red Flag Rules, and Privacy
- Focus on Funds: Elder Abuse and Exploitation a Growing Industry Concern
Jan 5, 2018
- ICI Files Comment Letter with Department of Commerce Discussing Importance of Mutual Funds' Access to the Death Master File (pdf)
Mar 31, 2014
- ICI Files Comment Letter with SEC on FINRA's Proposed Consolidated Supervisory Rules (pdf)
Jul 29, 2013
Intermediary Oversight
- Evaluating Swing Pricing: Operational Considerations (pdf)
Nov 30, 2016
- Operational Process Flows and Considerations Related to Dealer/Custodian Resignations in Response to the Fiduciary Rule (pdf)
Oct 25, 2016
- Know Your Distributor Questionnaire (docx)
Sep 20, 2016
- DOL Fiduciary Duty Rule Resource Center
Money Market Funds
- Money Market Fund Resource Center
- Focus on Funds: Understanding Cryptocurrencies and Investing
Apr 13, 2018
- Money Market Funds: FAQs
Jan 22, 2018
- ICI Global Letter on ESMA's Money Market Funds Consultation Paper (pdf)
Aug 4, 2017
- ICI Global Letter to Basel Committee on Step-In Risk (pdf)
May 15, 2017
Retirement Plans
